• 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.
Steven Ponce De Leon
Steven PonceDeLeon
CRD#: 7527701
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 550 BILTMORE WAY
SUITE 1100
CORAL GABLES, FL 33134
Registration History
JulOct2024AprJulOct2025AprJulOct20262 FIRMS2024 - Present (<1 year)
License(s)

State Registrations

B
Arizona 6/17/2024

B
New Mexico 5/10/2024

B
California 5/10/2024

B
New York 5/10/2024

B
Colorado 5/10/2024

B
North Carolina 5/10/2024

B
Connecticut 5/10/2024

B
Ohio 10/29/2024

B
District of Columbia 5/10/2024

B
Oregon 6/18/2024

B
Florida 5/10/2024

B
Pennsylvania 5/10/2024

IA
Florida 5/13/2024

B
Rhode Island 5/10/2024

B
Georgia 5/10/2024

B
South Carolina 5/10/2024

B
Idaho 5/10/2024

B
Tennessee 6/18/2024

B
Illinois 5/10/2024

B
Texas 5/10/2024

B
Massachusetts 6/18/2024

IA
Texas 5/10/2024

B
Michigan 5/10/2024

B
Utah 5/10/2024

B
Missouri 5/10/2024

B
Virginia 5/10/2024

B
New Hampshire 5/10/2024

B
Washington 6/18/2024

B
New Jersey 5/10/2024

B
Wisconsin 8/23/2024

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)
550 BILTMORE WAY SUITE 1100, CORAL GABLES, FL 33134
Registered with this firm since 5/10/2024

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
550 BILTMORE WAY SUITE 1100, CORAL GABLES, FL 33134
Registered with this firm since 5/10/2024

For additional information about investment advisers or broker-dealers, please visit
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.