Stephen E. Cohen

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CRD#: 1933312

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Stephen Edward Jamison Cohen was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 1989. Stephen had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The Cramer Children's Center / 404 West Tennessee Street Florence, Alabama 35360 / Charity/ Charity / The Cramer Children's Centers' principal activity and mission is to provide a neutral, child friendly organization that facilitates a multidisciplinary approach to the investigation, prosecution, intervention and treatment of child abuse. Cramer Children's Center serves children under the age of 19 who may have experienced abuse or who may have witnessed a crime or other violent act. These services include Forensic Interview Services, Mental Health Services, Medical Services, Family and Victim Advocate Services, and coordination of investigations by our Multidisciplinary Team. the Cramer Children's Center is an accredited member of both the National Children's Alliance and the Alabama Network of Children's Advocacy Centers (ANCAC). / Member of Board of directors / My role will be in a volunteer capacity to assist in community activities, organizing local fund raising events and as a general awareness advocate for the Cramer Children's Center. / Start Date 6/1/2019 /

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

July 1, 2011 - May 19, 2022

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

LAS VEGAS, NV

Past

June 30, 2011 - May 19, 2022

UBS FINANCIAL SERVICES INC.

CRD#: 8174

LAS VEGAS, NV

Past

January 3, 2011 - July 1, 2011

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

LAS VEGAS, NV

Past

January 3, 2011 - July 1, 2011

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

LAS VEGAS, NV

Past

April 19, 2001 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

LAS VEGAS, NV

Past

December 13, 2000 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

LAS VEGAS, NV

Past

October 9, 2000 - December 13, 2000

WELLS FARGO BROKERAGE SERVICES, L.L.C.

CRD#: 16100

MINNEAPOLIS, MN

Past

September 20, 2000 - May 2, 2001

WELLS FARGO SECURITIES INC.

CRD#: 17438

SAN FRANCISCO, CA

Past

October 8, 1998 - September 20, 2000

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

March 9, 1998 - September 23, 1998

LADENBURG THALMANN & CO. INC.

CRD#: 505

NEW YORK, NY

Past

August 19, 1996 - March 13, 1998

GLEACHER & COMPANY SECURITIES, INC.

CRD#: 298

NEW YORK, NY

Past

January 18, 1995 - August 27, 1996

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

June 2, 1992 - December 5, 1994

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

September 19, 1989 - February 10, 1992

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

UBS FINANCIAL SERVICES INC.

CRD#: 8174 / SEC#: 801-7163, 8-16267

RIA

Registered Investment Advisory firm - SEC (1/22/1971 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/2/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/25/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/17/1989

General Securities Representative Examination

Current Firm

UBS FINANCIAL SERVICES INC.

CRD#: 8174 / SEC#: 801-7163, 8-16267

RIA

Registered Investment Advisory firm - SEC (1/22/1971 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

1200 Harbor Boulevard, Weehawken, NJ 07086

Mailing Address

315 Deaderick Street 3rd Fl, Compliance Department, Nashville, TN 37238

Phone number

(201) 352-3000

Established

Delaware since 06/30/1969

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

12,629

SEC notice filing (50 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

UBS FINANCIAL SERVICES WRAP FEE PROGRAMS DISCLOSURE BROCHURE (11/13/2025)

FINANCIAL PLANNING SERVICES DISCLOSURE BROCHURE (3/31/2025)

RETIREMENT PLAN CONSULTING SERVICES PROGRAM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
UBS AMERICAS INC.	OWNER
CAMACHO, MICHAEL ALAN	PRESIDENT	2907298
FRANCOMANO, LISA M.	CHIEF COMPLIANCE OFFICER FOR THE ADVISORY BUSINESS	2263875
MATTONE, RALPH	PRINCIPAL FINANCIAL OFFICER	1840894
MOZER, PETER	MANAGING DIRECTOR	2523858
MUNFA, LAUREN	CHIEF COMPLIANCE OFFICER	4431011
SAKAI, KIYE	GENERAL COUNSEL	7451987
SOMMA, JOSEPH	PRINCIPAL OPERATIONS OFFICER	2219496

Regulatory assets under management

Total Number of Accounts	1,134,923
AUM (Assets Under Management)	$ 808,822,670,899

Disclosures

Regulatory Event	475
Civil Event	5
Arbitration	443

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/26/2025	Cover Page	Report
05/15/2024	Cover Page	Report
12/19/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Stephen E. Cohen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

UBS FINANCIAL SERVICES INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO BROKERAGE SERVICES, L.L.C.

WELLS FARGO SECURITIES INC.

WELLS FARGO CLEARING SERVICES, LLC

LADENBURG THALMANN & CO. INC.

GLEACHER & COMPANY SECURITIES, INC.

CIBC WORLD MARKETS CORP.

GRUNTAL & CO., L.L.C.

CIBC WORLD MARKETS CORP.

Primary Firm SEC Registration

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/2/2001

Series 63

Date: 9/25/1989

SIE

Date: 10/1/2018

Series 7

Date: 6/17/1989

Current Firm

UBS FINANCIAL SERVICES INC.

Contact information

SEC notice filing (50 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

UBS FINANCIAL SERVICES INC.

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