Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steve? Claim Your ProfileSteve Mcelroy Herrmann is a financial advisor in Plano, Texas. Steve has been in the financial services industry since 1984. Steve is currently registered with UBS Financial Services Inc., and has been with the firm since December 2010. Steve's previous registrations include Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., Citigroup Global Markets Inc., Lehman Brothers Inc., and Dean Witter Reynolds Inc.. Steve is a Series 7 and Series 63 licensed professional. Steve specializes in financial planning, portfolio management for individuals and businesses, and pension consulting.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
TX
12/16/2010 - Present
UBS Financial Services Inc. (PLANO TX)
TX
06/01/2009 - 12/17/2010
MORGAN STANLEY SMITH BARNEY (DALLAS TX)
TX
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (DALLAS TX)
TX
03/15/2004 - 04/02/2007
MORGAN STANLEY DW INC. (DALLAS TX)
NY
07/31/1993 - 03/26/2004
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
02/03/1993 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
09/20/1984 - 01/28/1993
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
BC
Issued 09/20/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/15/1984
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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