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MARK A STEINBERG
CRD#: 4097491
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 32300 NORTHWESTERN HIGHWAY
STE 150
FARMINGTON HILL, MI 48334
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2005 - Present (20 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2000 - 2005 (4 years)IAMERRILL LYNCH PIERCE FENNER & ... (CRD# 7691)2002 - 2005 (3 years)
License(s)

State Registrations

B
Arizona 1/21/2005

IA
Michigan 9/17/2010

B
California 1/21/2005

B
Minnesota 3/24/2014

B
Colorado 1/21/2005

B
Missouri 2/16/2023

B
Connecticut 1/4/2013

IA
Montana 2/15/2023

B
Delaware 11/7/2019

B
Nevada 3/8/2006

B
District of Columbia 8/18/2022

B
New Jersey 5/12/2011

B
Florida 1/21/2005

B
New York 1/21/2005

IA
Florida 2/16/2023

B
North Carolina 10/3/2013

B
Georgia 1/21/2005

B
Ohio 1/21/2005

B
Hawaii 4/15/2021

B
Pennsylvania 9/17/2009

B
Illinois 1/21/2005

B
South Carolina 1/21/2005

B
Indiana 1/21/2005

B
Tennessee 7/2/2019

B
Kansas 2/16/2023

B
Texas 1/21/2005

B
Kentucky 5/16/2024

IA
Texas 1/21/2005

B
Louisiana 4/16/2018

B
Utah 4/15/2009

B
Maine 2/16/2023

B
Virginia 6/30/2011

B
Maryland 8/2/2010

B
Washington 7/28/2011

B
Massachusetts 11/2/2020

B
Wisconsin 2/16/2023

B
Michigan 1/21/2005

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 principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
32300 NORTHWESTERN HIGHWAY STE 150, FARMINGTON HILL, MI 48334
32300 NORTHWESTERN HWY STE 150, FARMINGTON HILLS, MI 48334
Registered with this firm since 1/21/2005

IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
32300 NORTHWESTERN HIGHWAY STE 150, FARMINGTON HILL, MI 48334
32300 NORTHWESTERN HWY STE 150, FARMINGTON HILLS, MI 48334
Registered with this firm since 1/21/2005

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/09/2002 - 01/28/2005 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) FARMINGTON HILLS, MI
B
02/08/2000 - 01/28/2005 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
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B
Broker
IA
Investment Adviser
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.