Knowledge, experience, leadership And the confidence to pursue your goals

Every stage of life has its financial responsibilities. Whether you are paying off college loans, buying a home, building a business or winding down for retirement, financial decisions must be made. To help make informed decisions you need the advice and counsel of a financial professional who understands your concerns, one who shares your vision, and most important, one who will treat your assets with the same attention, prudence and stewardship that you do.

Stephen Fish is a Managing Director at UBS. He began his career on Wall Street at Morgan Guaranty Trust Company and Brown Brothers, Harriman & Company. After more than twenty successful years at Hilliard Lyons, Mr. Fish moved to UBS Financial Services, Inc. to further enhance his clients' experiences and access more sophisticated trading capabilities.  Mr. Fish has over thirty years of investment experience in all financial markets and advises his clients through discretionary investment management.

Mr. Fish is a graduate of The Johns Hopkins University with a B.S. with concentrations in Economics and Philosophy. He also attended the MBA program at the Stern Graduate School of Business at New York University. At Hilliard Lyons he earned the designation Chartered Wealth Advisor (CWA) in 2003, after completing an extensive program concerning various aspects of wealth management. He maintains several Financial Industry Regulatory Authority licenses, including the Series 7, 24, 63 & 65.

 

What We Do: (Discretionary Fee-Based vs. Transaction)

Discretionary Accounts:         

  • Provide the 5 step process (How We Help You) which includes proactive execution of tactical and strategic investment procedures
  • Allow for progress consultations
  • Monitor your asset allocation regularly and provide an annual asset allocation analysis
  • Provide regular economic updates
  • Consult with your tax and legal advisors on all issues
  • Provide custody of all investments
  • Evaluate tax positions annually to minimize consequences

Transaction Accounts:           

  • Provide asset allocation analysis upon request
  • Provide reactive execution of stock and bond trades
  • Provide quarterly economic updates

Accomplishments

  • Financial Times Top 400 Financial Advisers, 2013, 2017, 2018, 2019, 2020
  • Forbes Best In-State Wealth Advisors, 2018, 2019, 2020
  • Barron's Top 1,200 Financial Advisors, 2017, 2018, 2019, 2020
  • Barron's Top 1,000 Financial Advisors, 2012, 2013

Registered States:

AR, AZ, CA, CT, DC, FL, GA, IL, IN, KS, KY, MA, MD, MI, MN, MO, MT, NC, NH, NJ, NV, NY, OH, PA, SC, TN, TX, UT, VA, WA, WI