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Stephen N Sorensen

Ubs Financial Services Inc.

Fripp Island, SC

Greenville, SC

Roebuck, SC

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2021-11-05
TX RA APPROVED 2021-11-05
  • SC RA
    APPROVED
    Since 2021-11-05
  • TX RA
    APPROVED
    Since 2021-11-05

Branch Locations

Fripp Island, SC • United States

17 West Mcbee Ave Poinsett Plaza, Greenville, SC 29601 • United States

Roebuck, SC • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Greenville SC 11/2012 11/2021
Bank Of America, N.A. Greenville SC 01/2013 11/2021
Ubs Financial Services, Inc. Greenville SC 11/2021 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-04-28
S63 Uniform Securities Agent State Law Examination 1992-05-29
  • S65 Uniform Investment Adviser Law Examination
    1994-04-28
  • S63 Uniform Securities Agent State Law Examination
    1992-05-29

View on SEC IAPD

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