Stefanie Stannard

Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2013 → 05/2017
  Hsbc Securities (Usa) Inc.
  New York, NY
• 09/2013 → 05/2017
  Hsbc Bank Usa N.A.
  New York, NY
• 05/2017 → 11/2019
  Ubs Financial Services
  Weehawken, NJ
• 05/2016 → Present
  Brooklyn Kayak Guides
  Brooklyn, NY
• 09/2015 → Present
  Nysc
  Forest Hills, NY
• 03/2020 → 10/2020
  Align Private Capital
  Naples, FL
• 10/2020 → Present
  Ubs Financial Services Inc.
  Weehawken, NJ

Previous Registrations

• 2017-06-21 → 2019-11-11
  Ubs Financial Services Inc.
  Weehawken, NJ
  Weehawken, NJ
• 2013-10-10 → 2017-06-06
  Hsbc Securities (Usa) Inc.
  New York, NY
• 2008-10-01 → 2011-10-07
  J.P. Morgan Securities Llc
  Birmingham, MI
• 2007-05-04 → 2008-10-01
  J.P. Morgan Securities Inc.
  Bloomfield Hills, MI
• 2006-04-24 → 2007-04-12
  Ameriprise Advisor Services, Inc.
  Detroit, MI
  Detroit, MI

Other Businesses

FINRA / United States / One Liberty Plaza / New York / New York / United States / 10006 / www.finra.org / No / Other / Regulatory Agency / Regulator / / Regulate member firms / Active / Other / Arbitrator / I will occasionally, as time and the roster allow, sit on the arbitration panel, as a non-public arbitrator, deciding case outcomes (e.g. customer complaints, employee complaints). NYSC/TSI: 69-47 Austin St, Forest Hills, NY: spin instructor: instruct spin classes for nysc members: 2 hrs/week not during trading hours: started 9/2015 Kayak Foundation (previously Brooklyn Kayak Guides): One Fifteen Marina, Brooklyn, NY: Coach: Provide kayak and SUP lessons: June-Sept, weekends only: started 5/2016

Exams

• S65 Uniform Investment Adviser Law Examination
  2006-04-21
• S63 Uniform Securities Agent State Law Examination
  1999-07-09

Other Names

• Stefanie Stannard
• Stefanie Stannard