Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
STEVE NADEEM ARMALY
STEVE ARMALY
CRD#: 4856092
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 POINSETT PLAZA
17 WEST MCBEE AVENUE
GREENVILLE, SC 29601
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2004 - Present (20 years)
License(s)

State Registrations

B
Alabama 3/25/2019
B
Nevada 3/12/2019
B
California 2/1/2005
B
New Jersey 3/25/2019
B
Colorado 1/17/2018
B
New York 4/28/2008
B
Connecticut 12/14/2023
B
North Carolina 5/27/2008
B
District of Columbia 8/14/2017
B
Ohio 10/23/2017
B
Florida 7/12/2005
B
Oregon 1/29/2024
B
Georgia 2/1/2005
B
Pennsylvania 4/27/2017
B
Indiana 3/23/2016
B
Rhode Island 12/12/2023
B
Kansas 2/20/2025
B
South Carolina 12/13/2004
B
Kentucky 8/15/2012
IA
South Carolina 12/13/2004
B
Louisiana 12/7/2009
B
Tennessee 11/11/2013
B
Maryland 12/2/2005
B
Texas 7/25/2005
B
Massachusetts 12/8/2009
IA
Texas 7/25/2005
B
Michigan 1/22/2009
B
Virginia 2/13/2007
B
Minnesota 6/23/2020
B
Washington 9/26/2017
B
Mississippi 10/22/2010

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)
POINSETT PLAZA 17 WEST MCBEE AVENUE, GREENVILLE, SC 29601
17 WEST MCBEE AVENUE, GREENVILLE, SC 29601
Registered with this firm since 12/13/2004
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
POINSETT PLAZA 17 WEST MCBEE AVENUE, GREENVILLE, SC 29601
17 WEST MCBEE AVENUE, GREENVILLE, SC 29601
Registered with this firm since 11/12/2004
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.