Best Investors Account Sign in

Stephen Henry Hazel

Ubs Financial Services Inc.

Las Vegas, NV

Las Vegas, NV

Claim This Profile
Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2023-08-15
FL RA APPROVED 2023-08-15
NY RA APPROVED 2023-07-14
NV RA APPROVED 2009-01-29
TX RA APPROVED_RES 2009-01-22
  • CA RA
    APPROVED
    Since 2023-08-15
  • FL RA
    APPROVED
    Since 2023-08-15
  • NY RA
    APPROVED
    Since 2023-07-14
  • NV RA
    APPROVED
    Since 2009-01-29
  • TX RA
    APPROVED_RES
    Since 2009-01-22

Branch Locations

10801 W. Charleston Blvd, Las Vegas, NV 89135 • United States

Las Vegas, NV • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc Las Vegas NV 01/2009 Present
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1996-08-30
S65 Uniform Investment Adviser Law Examination 1996-08-30
  • S63 Uniform Securities Agent State Law Examination
    1996-08-30
  • S65 Uniform Investment Adviser Law Examination
    1996-08-30
Other Names
  • Stephen H Hazel
  • Steve Hazel

View on SEC IAPD

Other Firms

YH&C INVESTMENTS INC.
MM MACHINE, LLC
QUANTIFIX CAPITAL MANAGEMENT, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
AI AGENT CAPITAL, LLC
BETTER CAPITAL MANAGEMENT LLC
U.S. BANCORP ADVISORS, LLC
ROSTEN CAPITAL INVESTMENTS LLC

Other Investors

YALE BOCK
Juan Manuel Mardueno Rodriguez
Sariguli Tuersun
Javier Magana Benitez
Shane Lee Rogers
CLIFTON M YASUTOMI
Nicholas Paul Abbott
MICHAEL J COOK

Other Offices

YH&C INVESTMENTS INC. · LAS VEGAS, NV
MM MACHINE, LLC · LAS VEGAS, NV
QUANTIFIX CAPITAL MANAGEMENT, LLC · LAS VEGAS, NV
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LAS VEGAS, NV
AI AGENT CAPITAL, LLC · LAS VEGAS, NV
BETTER CAPITAL MANAGEMENT LLC · LAS VEGAS, NV
U.S. BANCORP ADVISORS, LLC · Las Vegas, NV
ROSTEN CAPITAL INVESTMENTS LLC · LAS VEGAS, NV

More in Las Vegas, NV

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor