Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Kenneth Flanders is a financial advisor who has been in the industry since 1976. Steven is currently registered with UBS Financial Services Inc., a firm with a long history of providing financial advice. Steven has a broad range of experience and holds several licenses and certifications, including Series 7, Series 31, and Series 63. Prior to joining UBS Financial Services Inc., Steven worked at Morgan Stanley, Citigroup Global Markets Inc., Lehman Brothers Inc., EquiCo Securities, Inc., and The Equitable Life Assurance Society of the United States. Steven's primary focus is on providing financial advice to individuals and businesses.
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
NY
08/04/2014 - Present
UBS Financial Services Inc. (SYRACUSE NY)
NY
06/01/2009 - 06/19/2013
MORGAN STANLEY (SYRACUSE NY)
NY
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (SYRACUSE NY)
NY
12/17/1987 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
10/20/1980 - 09/21/1989
EQUICO SECURITIES, INC.
NA
12/01/1976 - 06/05/1987
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
IA
Issued 08/25/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/16/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/28/1998
Series 31 - Futures Managed Funds Examination
BC
Issued 08/16/1986
Series 7 - General Securities Representative Examination
BC
Issued 11/24/1976
Series 1 - Registered 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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