Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Carlisle Dawson is a financial advisor registered in the state of Texas with UBS Financial Services Inc. Michael has been in the financial services industry since 1974, having previously worked at Deutsche Bank Securities Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Goldman, Sachs & Co. Michael is a Series 63 and 65 licensed individual who holds licenses in 27 states. Michael provides services such as financial planning, portfolio management, educational seminars, and the selection of other advisors.
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
TX
12/22/2015 - Present
UBS Financial Services Inc. (HOUSTON TX)
TX
08/30/2013 - 12/22/2015
DEUTSCHE BANK SECURITIES INC. (HOUSTON TX)
TX
11/09/2007 - 09/03/2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HOUSTON TX)
TX
11/01/2002 - 11/21/2007
UBS FINANCIAL SERVICES INC. (HOUSTON TX)
NY
02/14/1974 - 11/12/2002
GOLDMAN, SACHS & CO. (NEW YORK NY)
IA
Issued 04/12/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/17/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/11/1982
Series 5 - Interest Rate Options Examination
BC
Issued 07/27/1977
PC - AMEX Put and Call Exam
BC
Issued 02/11/1974
Series 1 - Registered 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
Not sure Michael Dawson is the right advisor for you? Invested Better is here to help.
