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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
ME RA APPROVED 2023-11-09
NH RA APPROVED 2023-11-09
TX RA APPROVED 2023-11-09
  • ME RA
    APPROVED
    Since 2023-11-09
  • NH RA
    APPROVED
    Since 2023-11-09
  • TX RA
    APPROVED
    Since 2023-11-09

Branch Locations

1155 Elm Street Suite 501, Manchester, NH 03101 • 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 Manchester NH 10/2009 11/2023
Bank Of America, N.A. Concord NH 05/2011 11/2023
Ubs Financial Services Inc. Manchester NH 11/2023 Present
Previous Registrations
  • 2009-10-23 → 2023-11-13
    Concord, NH
    Burlington, MA
    Manchester, NH
    Manchester, NH
    Burlington, MA
  • 2005-01-28 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Portsmouth, NH
    Portsmouth, NH
    Burlington, MA
    Boston, MA
    Manchester, NH
    York, ME
    Worcester, MA
    Burlington, MA
    Burlington, MA
    Worcester, MA
  • 1999-02-26 → 2005-02-08
    Manchester, NH
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-02-24
S63 Uniform Securities Agent State Law Examination 1993-10-19
  • S65 Uniform Investment Adviser Law Examination
    1994-02-24
  • S63 Uniform Securities Agent State Law Examination
    1993-10-19
Other Names
  • Steven A Schehl

View on SEC IAPD

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