Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Michael Rozencwaig has been an active advisor in the financial industry since September 1991. Steven has spent most of his career working at UBS FINANCIAL SERVICES INC., but in February 2023, he joined Raymond James & Associates, Inc. to continue his career as a financial advisor. Steven has a broad range of experience in financial services, including investment management, financial planning, and portfolio management for individuals and businesses. Steven holds Series 7, Series 31, and Series 63 securities licenses, as well as a Series 65 investment advisor license.
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.
Please see note in schedule d - miscellaneous
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.
1
2
NY
02/10/2023 - Present
Raymond James & Associates, Inc. (NEW YORK NY)
NY
04/08/2005 - 02/21/2023
UBS FINANCIAL SERVICES INC. (New York NY)
NY
05/30/1995 - 04/26/2005
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
02/18/1998 - 09/01/1998
SALOMON BROTHERS INC. (NEW YORK NY)
NJ
01/28/1995 - 06/19/1995
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
09/16/1991 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
IA
Issued 04/02/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/17/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/17/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 09/13/1991
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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