Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Sun is a financial advisor with UBS Financial Services Inc., a firm registered with the Securities and Exchange Commission (SEC). Steven has been in the industry since December 1996 and has been registered with the SEC since January 2010. Steven holds the Series 7, Series 63 and Series 66 licenses. Steven has previously worked at UBS International Inc., Credit Suisse Securities (USA) LLC, Donaldson, Lufkin & Jenrette Securities Corporation, and Hambrecht & Quist LLC. Steven's specialties include portfolio management for individuals and businesses, financial planning, and selection of other advisors.
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
CA
01/19/2010 - Present
UBS Financial Services Inc. (SAN FRANCISCO CA)
CA
05/12/2006 - 01/01/2010
UBS INTERNATIONAL INC. (SAN FRANCISCO CA)
NY
01/17/2003 - 05/26/2006
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
NJ
11/06/1997 - 01/17/2003
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
CA
12/24/1996 - 11/19/1997
HAMBRECHT & QUIST LLC (SAN FRANCISCO CA)
BOTH
Issued 11/05/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/18/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/23/1996
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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