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Stephen James Fish

Ubs Financial Services Inc.

Cincinnati, OH

Wolfeboro, NH

Cincinnati, OH

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NH RA APPROVED 2019-10-07
MI RA APPROVED 2013-08-20
TX RA APPROVED_RES 2013-06-03
OH RA APPROVED 2013-05-30
  • NH RA
    APPROVED
    Since 2019-10-07
  • MI RA
    APPROVED
    Since 2013-08-20
  • TX RA
    APPROVED_RES
    Since 2013-06-03
  • OH RA
    APPROVED
    Since 2013-05-30

Branch Locations

8044 Montgomery Road, Ste. 10 The Towers At Kenwood, Cincinnati, OH 45236 • United States

Wolfeboro, NH • United States

Cincinnati, OH • 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
Ubs Financial Services Inc. Cincinnati OH 05/2013 Present
Previous Registrations
  • 2006-01-24 → 2013-06-11
    J.J.B. Hilliard, W.L. Lyons, Llc
    Louisville, KY
    Cincinnati, OH
    Cincinnati, OH
  • 2004-01-01 → 2006-01-20
    Pnc Wealth Management Llc
    Cincinnati, OH
  • 2003-06-10 → 2004-01-01
    J.J.B. Hilliard, W.L. Lyons, Llc
    Cincinnati, OH
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-11-22
S63 Uniform Securities Agent State Law Examination 1990-11-30
  • S65 Uniform Investment Adviser Law Examination
    1999-11-22
  • S63 Uniform Securities Agent State Law Examination
    1990-11-30

View on SEC IAPD

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Other Offices

QUEEN CITY CAPITAL MANAGEMENT, LLC · CINCINNATI, OH
OSAIC WEALTH, INC. · CINCINNATI, OH
BAHL & GAYNOR LLC · CINCINNATI, OH
BRIXEY & MEYER CAPITAL LLC · CINCINNATI, OH
OPUS CAPITAL MANAGEMENT · CINCINNATI, OH
FORMIDABLE ASSET MANAGEMENT, LLC · CINCINNATI, OH
RC CAPITAL · CINCINNATI, OH
STIFEL, NICOLAUS & COMPANY, INCORPORATED · CINCINNATI, OH

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