Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Posluszny is a financial advisor at UBS Financial Services Inc. Steven is a registered representative and investment advisor representative. He is licensed to sell securities in multiple states, including New Jersey, Texas, and California. Steven has been a registered representative since 1983 and has been with UBS Financial Services Inc. since 1993. Steven has also held previous positions with Prudential Securities Incorporated and Thomson McKinnon Securities Inc. Steven holds the Series 3, 5, 7, 15, 63, and 65 licenses. Steven specializes in a range of financial services, including portfolio management, financial planning, and pension consulting.
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
01/04/2006 - Present
UBS Financial Services Inc. (PARAMUS NJ)
NY
08/25/1989 - 03/05/1993
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
10/19/1983 - 08/25/1989
THOMSON MCKINNON SECURITIES INC. (NEW YORK NY)
IA
Issued 04/04/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/02/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/02/1984
Series 15 - Foreign Currency Options Examination
BC
Issued 04/19/1984
Series 5 - Interest Rate Options Examination
BC
Issued 01/04/1984
Series 3 - National Commodity Futures Examination
BC
Issued 10/15/1983
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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