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Steven Post Resigns from UBS Financial Services

Steven Post (CRD #: 1759879), a broker registered with Morgan Stanley, resigned from his previous firm, according to his BrokerCheck record, accessed on March 1, 2025. Keep reading if you have questions about his alleged conduct as a broker.

Resignation from UBS Financial Services

On January 10, 2025, Steven Post resigned from UBS Financial Services following allegations that he violated Federal Reserve Board Regulation U.

Regulation U

Federal Reserve Board Regulation U restricts how lenders can extend credit in order to buy or carry margin stock that is secured by that stock or another margin stock.

Background Information

Steven Post has passed the following exams:

  • General Securities Sales Supervisor – General Module Examination – Series 10
  • General Securities Sales Supervisor – Options Module Examination – Series 9
  • General Securities Principal Examination – Series 24
  • General Securities Sales Supervisor Examination (Options Module & General Module) – Series 8
  • Securities Industry Essentials Examination – SIE
  • National Commodity Futures Examination – Series 3
  • General Securities Representative Examination – Series 7
  • Uniform Investment Adviser Law Examination – Series 65
  • Uniform Securities Agent State Law Examination – Series 63

Steven Post is a registered broker in 14 states and a registered investment adviser in New York and Texas.

He has also worked for the following firms:

  • UBS Financial Services (CRD#:8174)
  • Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691)
  • Ryan Beck & Company (CRD#:3248)
  • Gruntal & Company (CRD#:372)

Kurta Law Can Help

If you worked with Steven Post and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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