Articles Tagged with Stephen Owen III

Stephen Owen III

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on March 9, 2017 indicate that Maryland-based UBS Financial Services broker/adviser Stephen Owen III has been the subject of resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Owen (CRD# 2350652).

Stephen Owen has spent 23 years in the securities industry and has been registered with UBS Financial Services in Annapolis, Maryland since 2015. Previous registrations include Morgan Stanley in Annapolis, Maryland; Wells Fargo Advisors in Severna Park, Maryland; First Union Brokerage Services in Charlotte, North Carolina; Johnston Lemon & Company in Washington, DC; Legg Mason Wood Walker in Baltimore, Maryland; Raymond James & Associates in St. Petersburg, Florida; and Ferris Baker Watts in Baltimore, Maryland. He has passed four securities industry examinations: Series 55 (Limited Representative-Equity Trader Exam), Series 7 (General Securities Representative Examination), 65 (Uniform Investment Adviser Law Examination) and Series 63 (Uniform Securities Agent State Law Examination). He is a registered broker and investment adviser with twenty US states and territories.

According to his BrokerCheck report report, he has received one regulatory sanction, three customer complaints, and one pending customer complaint.