Caroline Steiger, financial advisor Conshohocken PA
93 score

Caroline Steiger

CRD Number: 3061426
Current Firm: Ubs Financial Services Inc.

Caroline Steiger (CRD# 3061426) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Conshohocken, PA and has over 13 years of experience in the finance industry.

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Company Name Location Dates Years
Ubs Financial Services Inc. Wilmington, DE Aug 2013 - Current 3
Morgan Stanley Smith Barney Wilmington, DE Sep 2011 - Aug 2013 1
Ubs Mt. Laurel, NJ Aug 2010 - Sep 2011 1
School District Of Philadelphia Philadelphia, PA Sep 2009 - Aug 2010 < 1
Office Team Red Bank, NJ Jul 2009 - Sep 2009 < 1
School District Of Orange County Williamstown, VT Nov 2008 - Jun 2009 < 1
Office Team Red Bank, NJ Sep 2008 - Nov 2008 < 1
Loyola Marymount Los Angeles, CA Jan 2008 - Aug 2008 < 1
Goldman, Sachs & Co Los Angeles, CA Nov 2006 - Dec 2007 1
Credit Suisse First Boston LLC Los Angeles, CA Jan 2003 - Nov 2006 3
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Dec 2002
S66 NASAA Uniform Combined State Law Examination Nov 2011
Contact Info for Caroline R. Steiger
Phone Number: 201-352-3000
Registered State(s):
  • DE
  • TX
  • PA
By the Numbers
  • Total Assets Under Management
    358,253
    MILLIONS
  • Total Number of Accounts
    860,383
    ACCOUNTS
  • Average Account Value
    $416,388
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Security ratings or pricing services
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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