Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Bockner is a financial advisor at UBS Financial Services Inc., a firm with over $702 billion in regulatory assets under management. Michael has been in the financial industry since 1999. He is licensed in several states, including Washington, California, and Florida. Michael specializes in providing financial advice to individuals, businesses, and retirement plans. He also offers portfolio management, financial planning, and educational seminars.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
WA
04/07/2022 - Present
UBS Financial Services Inc. (Bellevue WA)
WA
11/14/2013 - 04/05/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SEATTLE WA)
WA
10/02/2009 - 09/18/2013
J.P. MORGAN SECURITIES LLC (SEATTLE WA)
CA
01/08/2007 - 09/25/2009
INTER SECURITIES LTD. (BURLINGAME CA)
WA
01/03/2003 - 12/08/2006
OPPENHEIMER & CO. INC. (BELLEVUE WA)
NY
01/25/2002 - 01/03/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NY
01/02/2002 - 01/15/2002
FAHNESTOCK & CO. INC. (NEW YORK NY)
NY
10/02/2000 - 01/02/2002
JOSEPHTHAL & CO., INC. (NEW YORK NY)
NY
09/08/1999 - 09/27/2000
STIRES, O'DONNELL AND CO., INC. (NEW YORK NY)
BOTH
Issued 01/18/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/17/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/26/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 08/10/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 09/04/1999
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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