Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Halsey Hughes is a financial advisor with UBS Financial Services Inc. who has been in the financial services industry since June 1993. Steven is registered with the Securities and Exchange Commission (SEC) and has been a registered representative of UBS Financial Services Inc. since April 1993. Steven is also a registered investment advisor and has been registered as an investment advisor representative since August 1995. Steven is a member of FINRA and holds the Series 63, 65, and 7 licenses as well as the SIE. Steven is currently licensed and registered to provide investment advice in 40 states. Steven has held previous employment at Kidder, Peabody & Co. Incorporated and has been recognized for his accomplishments in the financial services industry.
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
MO
01/23/2013 - Present
UBS Financial Services Inc. (Kansas City MO)
NY
06/17/1993 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
IA
Issued 07/16/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/23/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/16/1993
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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