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Steven Ephrem Kaiser

Ubs Financial Services Inc.

Fort Lauderdale, FL

Weston, FL

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2016-03-01
TX RA APPROVED 2016-02-26
  • FL RA
    APPROVED
    Since 2016-03-01
  • TX RA
    APPROVED
    Since 2016-02-26

Branch Locations

401 East Las Olas Bvd Ste.2300, Fort Lauderdale, FL 33301 • United States

Weston, FL • 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. Ft. Lauderdale FL 02/2016 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-05-21
S63 Uniform Securities Agent State Law Examination 1984-02-07
  • S65 Uniform Investment Adviser Law Examination
    1996-05-21
  • S63 Uniform Securities Agent State Law Examination
    1984-02-07
Other Names
  • Steven E Kaiser

View on SEC IAPD

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