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Detailed Report
STEPHEN LEMASTER KARR
CRD#: 1186635
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 712 SOUTH EAST OCEAN BLVD.
GROUND FLOOR
STUART, FL 34994
Registration History
1985199019952000200520102015202020252 FIRMS2000 - 2003 (3 years)2 FIRMS2003 - 2006 (2 years)2 FIRMS2006 - 2007 (1 year)2 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - 2012 (3 years)2 FIRMS2012 - Present (12 years)BPAINEWEBBER INCORPORATED (CRD# 8174)1993 - 2000 (6 years)BSMITH BARNEY SHEARSON INC. (CRD# 7059)1993 - 1993 (<1 year)BLEHMAN BROTHERS INC. (CRD# 7506)1986 - 1993 (6 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1983 - 1986 (3 years)
Disclosure(s)
View By:
8/25/1997
Customer Dispute
Settled
License(s)

State Registrations

B
Alaska 11/3/2016
B
New Jersey 7/16/2012
B
California 7/16/2012
B
New Mexico 9/19/2018
B
Colorado 7/16/2012
B
New York 7/16/2012
B
Connecticut 7/16/2012
B
North Carolina 7/16/2012
B
Florida 7/17/2012
B
Ohio 7/16/2012
IA
Florida 7/17/2012
B
Pennsylvania 7/16/2012
B
Georgia 7/16/2012
B
Rhode Island 9/25/2012
B
Illinois 7/16/2012
B
South Carolina 7/16/2012
B
Indiana 3/22/2023
B
Tennessee 2/10/2023
B
Maine 7/16/2012
B
Texas 7/16/2012
B
Maryland 7/30/2019
IA
Texas 7/16/2012
B
Massachusetts 7/16/2012
B
Vermont 3/1/2021
B
Michigan 7/16/2012
B
Virginia 7/16/2012
B
Missouri 7/16/2012
B
Wisconsin 7/16/2012
B
New Hampshire 2/4/2025

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)
712 SOUTH EAST OCEAN BLVD. GROUND FLOOR, STUART, FL 34994
Registered with this firm since 7/16/2012
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
712 SOUTH EAST OCEAN BLVD. GROUND FLOOR, STUART, FL 34994
Registered with this firm since 7/16/2012
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/01/2009 - 08/01/2012 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) STUART, FL
B
 06/01/2009 - 08/01/2012 MORGAN STANLEY SMITH BARNEY (CRD#:149777) STUART, FL
IA
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) STUART, FL
B
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) STUART, FL
IA
 04/03/2006 - 04/02/2007 MORGAN STANLEY (CRD#:7556) STUART, FL
B
 03/31/2006 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) STUART, FL
IA
 07/01/2003 - 04/03/2006 WACHOVIA SECURITIES, LLC (CRD#:19616) STUART, FL
B
 07/01/2003 - 04/03/2006 WACHOVIA SECURITIES, LLC (CRD#:19616) ST. LOUIS, MO
IA
 06/01/2000 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) STUART, FL
B
 06/01/2000 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
 09/03/1993 - 06/09/2000 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
B
 07/31/1993 - 09/24/1993 SMITH BARNEY SHEARSON INC. (CRD#:7059) NEW YORK, NY
B
 11/03/1986 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
 09/27/1983 - 11/06/1986 DEAN WITTER REYNOLDS INC. (CRD#:7556)
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.