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Detailed Report
STEVEN LEWELLYN SCHULTZ
CRD#: 1022899
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 2575 East Camelback Road
SUITE 900
PHOENIX, AZ 85016
Registration History
1985199019952000200520102015202020252 FIRMS2009 - 2013 (3 years)2 FIRMS2013 - Present (12 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1993 - 2009 (15 years)BLEHMAN BROTHERS INC. (CRD# 7506)1981 - 1993 (11 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2003 - 2009 (6 years)
Disclosure(s)
View By:
8/7/2023
Customer Dispute
Denied
8/25/2016
Customer Dispute
Settled
2/3/2004
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 7/22/2014
B
Missouri 4/1/2013
B
Alaska 4/30/2013
B
Montana 3/13/2017
B
Arizona 4/26/2013
B
Nebraska 4/1/2013
B
Arkansas 1/5/2017
B
Nevada 4/1/2013
B
California 4/1/2013
B
New Hampshire 4/1/2013
B
Colorado 4/1/2013
B
New Jersey 4/1/2013
B
Connecticut 4/1/2013
B
New Mexico 4/1/2013
B
Delaware 5/11/2015
B
New York 4/1/2013
B
District of Columbia 7/27/2015
B
North Carolina 12/1/2015
B
Florida 4/1/2013
B
Ohio 6/1/2016
B
Georgia 4/1/2013
B
Oklahoma 4/1/2013
B
Hawaii 6/9/2015
B
Oregon 4/1/2013
B
Idaho 4/1/2013
B
Pennsylvania 4/1/2013
B
Illinois 4/1/2013
B
South Carolina 11/11/2015
B
Indiana 4/24/2013
B
South Dakota 4/1/2013
IA
Indiana 6/24/2013
B
Tennessee 1/5/2016
B
Iowa 4/1/2013
B
Texas 4/1/2013
B
Kansas 6/1/2016
IA
Texas 4/1/2013
B
Maine 3/9/2017
B
Utah 4/1/2013
B
Maryland 4/1/2013
B
Vermont 11/12/2015
B
Massachusetts 4/1/2013
B
Virginia 4/1/2013
B
Michigan 4/1/2013
B
Washington 4/1/2013
IA
Michigan 4/3/2013
B
Wisconsin 4/1/2013
B
Minnesota 6/1/2016
B
Wyoming 5/11/2021

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
2575 East Camelback Road SUITE 900, PHOENIX, AZ 85016
4330 EDISON LAKES PARKWAY SUITE B, MISHAWAKA, IN 46545
Registered with this firm since 4/1/2013
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
2575 East Camelback Road SUITE 900, PHOENIX, AZ 85016
4330 EDISON LAKES PARKWAY SUITE B, MISHAWAKA, IN 46545
Registered with this firm since 4/1/2013
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/01/2009 - 04/23/2013 MORGAN STANLEY (CRD#:149777) PHOENIX, AZ
B
 06/01/2009 - 04/23/2013 MORGAN STANLEY (CRD#:149777) PHOENIX, AZ
IA
 01/07/2003 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) PHOENIX, AZ
B
 07/31/1993 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) PHOENIX, AZ
B
 12/24/1981 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.