Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Andrew West is an active Investment Advisor Representative and Registered Representative at UBS Financial Services Inc. based in Bethesda, MD. Steven has been in the financial industry since October 14, 1999, and holds the Series 7 and Series 66 licenses. Steven is also a Registered Investment Advisor in Maryland and Texas. Steven previously worked at MORGAN STANLEY and CITIGROUP GLOBAL MARKETS INC. in Bethesda, MD.
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
MD
06/23/2016 - Present
UBS Financial Services Inc. (BETHESDA MD)
MD
06/01/2009 - 07/20/2016
MORGAN STANLEY (BETHESDA MD)
MD
02/21/2006 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (BETHESDA MD)
MD
10/15/1999 - 02/21/2006
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
BOTH
Issued 11/01/1999
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/15/1999
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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