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Stephen Lindsey Polhemus

Ubs Financial Services Inc.

Portsmouth, NH

CRD 6798676

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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
NH RA APPROVED 2021-05-07
NC RA APPROVED 2018-10-11
  • NH RA
    APPROVED
    Since 2021-05-07
  • NC RA
    APPROVED
    Since 2018-10-11

Branch Locations

40 Congress Street, Portsmouth, NH 03801 • 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
Golf Club Of New England Stratham NH 07/2016 06/2017
Ubs Financial Services Inc. Portland ME 06/2017 08/2017
Scorpions Bar And Grill Durham NH 09/2017 02/2018
Planet Fitness Stratham NH 03/2018 05/2018
Ubs Financial Services Inc. Portsmouth NC 06/2018 Present
  • 07/2016 → 06/2017
    Golf Club Of New England
    Stratham, NH
  • 06/2017 → 08/2017
    Ubs Financial Services Inc.
    Portland, ME
  • 09/2017 → 02/2018
    Scorpions Bar And Grill
    Durham, NH
  • 03/2018 → 05/2018
    Planet Fitness
    Stratham, NH
  • 06/2018 → Present
    Ubs Financial Services Inc.
    Portsmouth, NC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-10-11
  • S66 Uniform Combined State Law Examination
    2018-10-11

View on SEC IAPD

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Nearby Investors

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Nearby Offices

CHARTER OAK CAPITAL MANAGEMENT · PORTSMOUTH, NH
NVEST FINANCIAL, LLC · PORTSMOUTH, NH
DAVID WENDELL ASSOCIATES, INC. · PORTSMOUTH, NH

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