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Detailed Report
STEVEN WALLACE CRAWFORD
CRD#: 3099730
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 251 South Lake Avenue
10th Floor
PASADENA, CA 91101
Registration History
199820002002200420062008201020122014201620182020202220242026IAUBS FINANCIAL SERVICES INC. (CRD# 8174)1999 - Present (26 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)1998 - Present (26 years)
License(s)

State Registrations

B
Arizona 7/29/1999
B
Nebraska 3/3/2025
B
California 9/17/1999
B
Nevada 1/4/2011
IA
California 8/3/2012
IA
Nevada 6/15/2023
B
Colorado 8/25/1998
B
New Jersey 7/12/2006
IA
Colorado 1/1/1999
B
New Mexico 7/11/2006
B
Connecticut 6/1/2023
B
New York 3/14/2001
B
District of Columbia 2/13/2018
B
North Carolina 2/13/2018
B
Florida 3/30/1999
B
Oklahoma 3/14/2001
IA
Hawaii 6/13/2023
B
Oregon 5/27/2004
B
Idaho 3/25/2020
B
Pennsylvania 10/21/2022
B
Illinois 4/26/2022
B
South Dakota 10/20/2021
B
Iowa 1/25/2023
B
Texas 6/30/2006
B
Kentucky 12/1/2017
IA
Texas 10/26/2007
B
Maryland 2/13/2018
B
Utah 6/3/2015
B
Massachusetts 2/13/2018
B
Virginia 2/13/2018
B
Michigan 2/13/2018
B
Washington 5/7/2001
B
Minnesota 2/13/2018
IA
Washington 6/9/2023
B
Missouri 2/13/2018
B
Wyoming 7/27/1999

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)
251 South Lake Avenue 10th Floor, PASADENA, CA 91101
Registered with this firm since 1/1/1999
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
251 South Lake Avenue 10th Floor, PASADENA, CA 91101
Registered with this firm since 8/25/1998
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.