Stuart H. Rubinstein
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.
Stuart Howard Rubinstein, who also goes by Stuart Howard Rubenstein, was a registered financial professional .
Stuart is a previously registered financial professional and started their career in finance in 1981. Stuart had worked at 1 firm and has passed the Series 63, Series 1, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 29, 1981 - March 17, 1998
UBS CAPITAL MARKETS L.P.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 4/6/1964
Registered Representative ExaminationSeries 40
Date: 2/12/1976
Registered Principal ExaminationCurrent Firm
UBS CAPITAL MARKETS L.P.
CRD#: 2692 / SEC#: , 8-13535
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS, INC | GENERAL PARTNER | |
| UBS AMERICAS, INC. | LIMITED PARTNER | |
| CS CAPITAL MARKETS & CO. | GENERAL PARTNER OF SCHWAB CAPITAL MARKETS L.P. | |
| LEIBOWITZ, LAWRENCE EDWARD | CO-EXECUTIVE VICE PRESIDENT | 2024745 |
| MCISAAC, DANIEL THOMAS | EXECUTIVE DIRECTOR, CFO, HEAD OF REGULATORY REPORTING | 1543499 |
| MECANE, JOSEPH MICHAEL | VICE PRESIDENT & COO | 3114744 |
| SIMMES, STEPHEN ANDREW | COMPLIANCE DIRECTOR | 4319792 |
| SOUNDVIEW TECHNOLOGY GROUP, INC. | LIMITED PARTNER OF UBS CAPITAL MARKETS, L.P. |
Disclosures
| Regulatory Event | 27 |
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.
