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STEVEN E GOLD
CRD#: 4218383
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 100 SOUTH EAST SECOND STREET
MIAMI, FL 33131
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2000 - 2005 (4 years)2 FIRMS2005 - Present (20 years)
Disclosure(s)
View By:
3/9/2010
Customer Dispute
Denied
2/17/2009
Customer Dispute
Denied
License(s)

State Registrations

B
Alaska 12/22/2021

B
Michigan 1/5/2006

B
Arizona 1/3/2008

B
Minnesota 5/27/2015

B
California 2/25/2005

B
Nevada 2/2/2024

B
Colorado 7/1/2010

IA
Nevada 7/8/2024

B
Connecticut 2/25/2005

B
New Jersey 2/25/2005

B
Delaware 3/22/2023

B
New York 2/25/2005

B
District of Columbia 3/14/2022

B
North Carolina 1/7/2014

B
Florida 2/25/2005

B
Ohio 3/31/2008

IA
Florida 2/28/2005

B
Pennsylvania 2/25/2005

B
Georgia 4/27/2016

B
Puerto Rico 9/18/2014

B
Idaho 2/4/2022

B
Texas 2/25/2005

B
Illinois 2/25/2005

IA
Texas 1/11/2007

B
Indiana 9/19/2017

B
Utah 10/3/2018

B
Iowa 9/18/2023

B
Virginia 5/15/2008

B
Maine 6/23/2022

B
Washington 11/7/2024

B
Maryland 4/3/2012

B
West Virginia 9/21/2022

B
Massachusetts 3/7/2005

B
Wisconsin 11/3/2023

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)
100 SOUTH EAST SECOND STREET, MIAMI, FL 33131
100 S.E. 2ND STREET 25th, MIAMI, FL 33131
Registered with this firm since 2/28/2005

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
100 SOUTH EAST SECOND STREET, MIAMI, FL 33131
100 S.E. 2ND STREET 25th, MIAMI, FL 33131
Registered with this firm since 2/25/2005

Previous Registration(s)
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IA
08/10/2000 - 03/01/2005 MORGAN STANLEY (CRD#:7556) MIAMI, FL
B
08/09/2000 - 03/01/2005 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, 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.