Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Brooks is a financial advisor with UBS Financial Services Inc. with over 10 years of experience in the financial services industry. Michael has Series 3, 6, 7, 9, 10 and 66 licenses. Michael is registered in Texas. Michael was previously employed with Morgan Stanley, Scottrade, Inc. and Invesco AIM Distributors, Inc. Michael provides financial advice to individuals, high net worth individuals, corporations and other businesses, charitable organizations, investment companies, insurance companies, pension and profit-sharing plans, banking or thrift institutions, state or municipal government entities, pooled investment vehicles and sovereign wealth funds and foreign official institutions.
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
06/17/2015 - Present
UBS Financial Services Inc. (SUGAR LAND TX)
TX
11/07/2013 - 07/20/2015
MORGAN STANLEY (HOUSTON TX)
TX
05/14/2009 - 10/30/2013
SCOTTRADE, INC. (SUGARLAND TX)
TX
10/02/2008 - 02/27/2009
INVESCO AIM DISTRIBUTORS, INC. (HOUSTON TX)
BOTH
Issued 01/02/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/10/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/14/2013
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/07/2012
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/30/2014
Series 3 - National Commodity Futures Examination
BC
Issued 05/13/2009
Series 7 - General Securities Representative Examination
BC
Issued 10/01/2008
Series 6 - Investment Company Products/Variable Contracts 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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