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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Mortelliti is a financial advisor with UBS Financial Services Inc. Steven has been working in the financial industry since September 4, 1996. Steven's experience includes working as a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Incorporated before joining UBS. Steven is registered with the Securities and Exchange Commission (SEC) and holds the Series 7, 63 and 65 licenses. Steven is also a registered investment advisor (IA) in New Jersey and Texas. Steven's expertise includes financial planning, pension consulting, educational seminars, and portfolio management for individuals and businesses. Steven is a registered representative with UBS Financial Services Inc., which is a broker-dealer and investment advisor registered with the SEC. The firm has over $50 billion in assets under management.
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
06/19/2009 - Present
UBS Financial Services Inc. (NORTHFIELD NJ)
NJ
09/05/1996 - 12/10/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (EGG HARBOR TOWNSHIP NJ)
IA
Issued 10/18/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/13/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/04/1996
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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