Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Mark Kaiman is a registered representative with UBS Financial Services Inc. Steven has been in the securities industry since June 30, 1988 and has been registered with UBS Financial Services Inc. since February 18, 2025. Prior to joining UBS Financial Services Inc., Steven was employed by Amherst Pierpont Securities LLC and Credit Suisse Securities (USA) LLC. Steven holds a Series 63, SIE, and Series 7 license and is registered to conduct business in 49 states and the District of Columbia. Steven's office is located at 140 Broad Street, Suite 100, Red Bank, NJ 07701.
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
02/18/2025 - Present
UBS Financial Services Inc. (RED BANK NJ)
NY
10/17/2016 - 11/06/2017
AMHERST PIERPONT (NEW YORK NY)
NY
04/15/1998 - 10/19/2016
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
NY
08/07/1997 - 04/20/1998
AUBREY G. LANSTON & CO., INC. (NEW YORK NY)
MA
03/26/1990 - 08/04/1997
TUCKER ANTHONY INCORPORATED (BOSTON MA)
NY
06/29/1988 - 04/02/1990
SHEARSON LEHMAN HUTTON INC. (NEW YORK NY)
BC
Issued 11/21/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/18/1988
Series 7 - General Securities Representative Examination
Active
Inactive
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
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