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Joshua Steuerman

Ubs Financial Services Inc.

New York, NY

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2023-06-02
TX RA APPROVED_RES 2022-10-03
NY RA APPROVED 2022-09-30
  • NJ RA
    APPROVED
    Since 2023-06-02
  • TX RA
    APPROVED_RES
    Since 2022-10-03
  • NY RA
    APPROVED
    Since 2022-09-30

Branch Locations

299 Park Avenue 8Th,9Th And 11Th Floor, New York, NY 10171 • 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 Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc New York NY 05/2009 11/2016
Wells Fargo Clearing Services, Llc New York NY 11/2016 09/2022
Ubs Financial Services New York NY 09/2022 Present
  • 05/2009 → 11/2016
    Wells Fargo Advisors Llc
    New York, NY
  • 11/2016 → 09/2022
    Wells Fargo Clearing Services, Llc
    New York, NY
  • 09/2022 → Present
    Ubs Financial Services
    New York, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-04-02
  • S66 Uniform Combined State Law Examination
    2007-04-02
Other Names
  • Joshua A Steuerman

View on SEC IAPD

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