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Steven Mark Kaiman

Ubs Financial Services Inc.

Fair Haven, NJ

Red Bank, NJ

CRD 1844426

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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:

Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2025-02-18
  • NJ RA
    APPROVED
    Since 2025-02-18

Branch Locations

Fair Haven, NJ • United States

140 Broad Street Suite 100, Red Bank, NJ 07701 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Credit Suisse Securities (Usa) Llc New York NY 04/1998 10/2016
Amherst Pierpont Securities Llc New York NY 10/2016 10/2017
Ubs Financial Services New York NY 10/2017 Present
  • 04/1998 → 10/2016
    Credit Suisse Securities (Usa) Llc
    New York, NY
  • 10/2016 → 10/2017
    Amherst Pierpont Securities Llc
    New York, NY
  • 10/2017 → Present
    Ubs Financial Services
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-02-14
S63 Uniform Securities Agent State Law Examination 1991-11-21
  • S65 Uniform Investment Adviser Law Examination
    2025-02-14
  • S63 Uniform Securities Agent State Law Examination
    1991-11-21
Other Names
  • Steve Kaiman
  • Stevens Kaiman

View on SEC IAPD

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