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COLLEEN ANN STEIN
COLLEEN ANN BARRETT, COLLEEN ANN HOSFIELD, COLLEEN ANN STEVIC
CRD#: 1824752
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 2055 CROCKER ROAD
WESTLAKE, OH 44145
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS1996 - 1996 (<1 year)2 FIRMS2004 - 2009 (4 years)2 FIRMS2009 - Present (16 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2000 - 2004 (4 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1997 - 2000 (3 years)IAMERRILL LYNCH PIERCE FENNER & ... (CRD# 7691)2002 - 2004 (1 year)
License(s)

State Registrations

B
Florida 11/15/2013

IA
Ohio 1/22/2009

B
Ohio 1/16/2009

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

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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)
2055 CROCKER ROAD, WESTLAKE, OH 44145
Grafton, OH
Registered with this firm since 1/16/2009

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
2055 CROCKER ROAD, WESTLAKE, OH 44145
Grafton, OH
Registered with this firm since 1/16/2009

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/15/2004 - 01/20/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) AKRON, OH
B
06/30/2004 - 01/20/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) AKRON, OH
IA
07/03/2002 - 04/19/2004 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) AKRON, OH
B
04/12/2000 - 04/19/2004 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
03/28/1997 - 05/09/2000 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
B
12/06/1996 - 12/23/1996 SECURITIES AMERICA, INC. (CRD#:10205) LAVISTA, NE
B
06/27/1996 - 11/05/1996 EVEREN SECURITIES, INC. (CRD#:19616) ST. LOUIS, MO
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B
Broker
IA
Investment Adviser
Disclosures
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