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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

STEPHEN RICHARD CORDILL

Advisor at UBS FINANCIAL SERVICES INC.

HOUSTON, TX | Boca Raton, FL

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: May 7, 1996 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: UBS FINANCIAL SERVICES INC.
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 19, 1993earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Nov 19, 1993
First registration: May 7, 1996
Dual registered: yes, broker-dealer
Other names: STEPHEN RICHARD CORDILL|STEPHEN RICHARD CORDILL
IAPD individual key: 1415437

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
UBS FINANCIAL SERVICES INC.	Wirehouse	Jan 28, 2016	n/a	yes	HOUSTON, TX\|Boca Raton, FL	Current employment
DEUTSCHE BANK SECURITIES INC.	No RAUM reported	Aug 30, 2013	Feb 2, 2016	no	HOUSTON, TX	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Aug 9, 2011	Sep 3, 2013	no	HOUSTON, TX	Previous registration
SANDERS MORRIS LLC	Independent wealth	Jun 14, 2006	Aug 8, 2011	no	SOLON, OH\|HOUSTON, TX\|HOUSTON, TX	Previous registration
SMH CAPITAL ADVISORS LLC	Institutional manager	Apr 18, 2006	Aug 8, 2011	no	FORT WORTH, TX	Previous registration
OPPENHEIMER ASSET MANAGEMENT	Bd affiliated wealth	Apr 15, 2003	Apr 18, 2006	no	NEW YORK, NY	Previous registration
OPPENHEIMER & CO. INC.	Bd affiliated wealth	Jan 3, 2003	Apr 15, 2003	no	HOUSTON, TX\|THE WOODLANDS, TX	Previous registration
CIBC WORLD MARKETS CORP.	n/a	May 7, 1996	Jan 3, 2003	no	NEW YORK, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
DEUTSCHE BANK SECURITIES INC.	UBS FINANCIAL SERVICES INC.	Feb 2, 2016	Jan 28, 2016	-5	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	DEUTSCHE BANK SECURITIES INC.	Sep 3, 2013	Aug 30, 2013	-4	Firm change	Other
SMH CAPITAL ADVISORS LLC	SANDERS MORRIS LLC	Aug 8, 2011	Jun 14, 2006	-1,881	Firm change after gap	Other
SANDERS MORRIS LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Aug 8, 2011	Aug 9, 2011	1	Firm change	Other
OPPENHEIMER ASSET MANAGEMENT	SMH CAPITAL ADVISORS LLC	Apr 18, 2006	Apr 18, 2006	0	Firm change	Other
OPPENHEIMER & CO. INC.	OPPENHEIMER ASSET MANAGEMENT	Apr 15, 2003	Apr 15, 2003	0	Bulk transfer	Other
CIBC WORLD MARKETS CORP.	OPPENHEIMER & CO. INC.	Jan 3, 2003	Jan 3, 2003	0	Bulk transfer	Other

Relationships

Registered with (8)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: current employment
Jan 28, 2016 to presentfactForm ADV
→ DEUTSCHE BANK SECURITIES INC.Registered adviserregistration: previous registration
Aug 30, 2013 to Feb 2, 2016factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Aug 9, 2011 to Sep 3, 2013factForm ADV
→ SMH CAPITAL ADVISORS LLCRegistered adviserregistration: previous registration
Apr 18, 2006 to Aug 8, 2011factForm ADV
→ SANDERS MORRIS LLCRegistered adviserregistration: previous registration
Jun 14, 2006 to Aug 8, 2011factForm ADV
→ OPPENHEIMER ASSET MANAGEMENTRegistered adviserregistration: previous registration
Apr 15, 2003 to Apr 18, 2006factForm ADV
→ OPPENHEIMER & CO. INC.Registered adviserregistration: previous registration
Jan 3, 2003 to Apr 15, 2003factForm ADV
→ CIBC WORLD MARKETS CORP.Registered adviserregistration: previous registration
May 7, 1996 to Jan 3, 2003factForm ADV

Dated events

No dated event names this entity yet.