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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Grant Matthews is an investment advisor representative at UBS Financial Services Inc. Michael has been in the industry since 1995 and has experience with various firms including Morgan Stanley Smith Barney and Citigroup Global Markets Inc. Michael holds Series 6, 7, 31, 63, and 65 licenses and the SIE exam. Michael specializes in various areas such as 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
CA
09/30/2022 - Present
UBS Financial Services Inc. (Palo Alto CA)
CA
06/01/2009 - 10/13/2022
MORGAN STANLEY (Menlo Park CA)
CA
11/11/2005 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (MENLO PARK CA)
NJ
01/19/2000 - 12/05/2005
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
CA
03/30/1995 - 01/04/2000
BB&K FUND SERVICES, INC. (FOSTER CITY CA)
IA
Issued 09/10/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/13/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/18/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 02/14/1997
Series 7 - General Securities Representative Examination
BC
Issued 03/29/1995
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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