linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Steven Hellman

UBS Securities LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Steven? Claim Your Profile

About Steven Hellman

Steven Hellman is a financial advisor with UBS Securities LLC. Steven has been in the financial services industry since November 18, 2004. Prior to joining UBS, Steven worked at Credit Suisse Securities (USA) LLC, BANC OF AMERICA SECURITIES LLC, and LEHMAN BROTHERS INC. Steven holds the Series 7 and Series 63 licenses. Steven is registered to offer securities in all 50 states and the District of Columbia.

Firm Information

Steven Hellman is currently registered with UBS Securities LLC. UBS Securities LLC is a Limited Liability Company formed on June 29, 1998. The firm is registered with the SEC and in all 50 states, as well as in Puerto Rico. UBS Securities LLC has been involved in 307 regulatory events, 5 civil events, and 3 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

507

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Steven Hellman’s Registration & Firm History

CA

09/29/2023 - Present

UBS Securities LLC (Los Angeles CA)

CA

01/07/2021 - 09/29/2023

CREDIT SUISSE SECURITIES (USA) LLC (LOS ANGELES CA)

NY

09/08/2015 - 08/02/2016

CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)

CA

04/28/2004 - 10/02/2014

CREDIT SUISSE SECURITIES (USA) LLC (LOS ANGELES CA)

NY

03/11/2004 - 05/05/2004

BANC OF AMERICA SECURITIES LLC (NEW YORK NY)

NY

06/06/2001 - 12/19/2002

LEHMAN BROTHERS INC. (NEW YORK NY)

NY

08/27/1997 - 10/12/2000

CREDIT SUISSE FIRST BOSTON CORPORATION (NEW YORK NY)

Not sure if Steven Hellman is right for you?

Licenses & Designations

BC

Issued 06/06/2022

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/26/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Steven Hellman.
Not sure if Steven Hellman is right for you?