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Steven Thomas Horky

Ubs Financial Services Inc.

Florham Park, NJ

Denville, NJ

CRD 2929764

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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
NY RA APPROVED 2025-01-02
DE RA APPROVED 2023-11-01
FL RA APPROVED 2021-10-29
WI RA APPROVED 2021-10-28
TX RA APPROVED_RES 2018-01-02
NJ RA APPROVED 2015-06-11
  • NY RA
    APPROVED
    Since 2025-01-02
  • DE RA
    APPROVED
    Since 2023-11-01
  • FL RA
    APPROVED
    Since 2021-10-29
  • WI RA
    APPROVED
    Since 2021-10-28
  • TX RA
    APPROVED_RES
    Since 2018-01-02
  • NJ RA
    APPROVED
    Since 2015-06-11

Branch Locations

500 Campus Drive 2Nd Floor, Florham Park, NJ 07932 • United States

Denville, NJ • 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. Florham Park NJ 06/2015 Present
Previous Registrations
  • 2007-01-16 → 2015-06-18
    Oppenheimer & Co. Inc.
    Florham Park, NJ
  • 2003-08-21 → 2007-01-18
    A. G. Edwards & Sons, Inc.
    Short Hills, NJ
    Short Hills, NJ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-05-20
S63 Uniform Securities Agent State Law Examination 1997-11-05
  • S66 Uniform Combined State Law Examination
    2003-05-20
  • S63 Uniform Securities Agent State Law Examination
    1997-11-05
Other Names
  • Steven Thomas Horky
  • Steven Thomas Thomas Horky

View on SEC IAPD

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Nearby Investors

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Nearby Offices

WISS PRIVATE CLIENT ADVISORS, LLC · FLORHAM PARK, NJ
JACOBS LEVY EQUITY MANAGEMENT · FLORHAM PARK, NJ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · FLORHAM PARK, NJ

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