Stuart Howard Rubinstein
Professional Summary
Stuart Howard Rubinstein, who also goes by Stuart Howard Rubenstein, was a registered financial advisor. Stuart was a previously registered financial professional and started their career in finance 1981 - 1998. Stuart had worked at 1 firm and has passed the Series 63, Series 1, Series 4 and Series 40 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Stuart Howard Rubenstein
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Contact Information
No current employment
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Years of Experience
62 years in the financial services industry
Current & Past Employments
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Current Firm
MAYER & SCHWEITZER, INC. | UBS CAPITAL MARKETS L.P. | SCHWAB CAPITAL MARKETS L.P. | SCHWAB CAPITAL MARKETS L.P.
Contact Information
Established
New Jersey since 01/28/2000Firm Type
PartnershipFiscal Year End
DecemberDocuments
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
27Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
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 advisor shows no other business activity.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 1 — Registered Representative Examination
Passed Apr 1964Series 40 — Registered Principal Examination
Passed Feb 1976Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
