Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Allen Rothman is a financial advisor at UBS Financial Services Inc., a firm with over $700 billion in assets under management. Steven has been in the industry since 1980. Steven specializes in Financial Planning, Portfolio Management for Individuals, and Portfolio Management for Businesses. He is registered as a Broker-Dealer and Investment Advisor in 30 states and has a wide range of certifications including Certified Financial Planner.
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
NJ
11/20/2006 - Present
UBS Financial Services Inc. (RED BANK NJ)
NA
09/23/1980 - 03/12/1981
FIRST JERSEY SECURITIES, INC.
IA
Issued 07/27/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/25/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/04/1985
Series 15 - Foreign Currency Options Examination
BC
Issued 10/30/1981
Series 5 - Interest Rate Options Examination
BC
Issued 09/20/1980
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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