Stephen Mann, financial advisor Huntsville AL
93 score

Stephen Mann

CRD Number: 1406451
Current Firm: Ubs Financial Services Inc.

Stephen Mann (CRD# 1406451) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Huntsville, AL and has over 31 years of experience in the finance industry.

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Company Name Location Dates Years
Ubs Financial Services Inc. Huntsville, AL Jan 2009 - Current 7
Morgan Stanley & Company, Incorporated Huntsville, AL Apr 2007 - Jan 2009 1
Dean Witter Reynolds Inc. Huntsville, AL Jan 1988 - Apr 2007 19
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Oct 1985
S65 NASAA Investment Advisors Law Examination Jan 1994
Contact Info for Stephen G. Mann
Phone Number: 201-352-3000
Registered State(s):
  • AL
  • TX
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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