Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael John Pence is an investment advisor representative with UBS Financial Services Inc. in Houston, TX. Michael has over 25 years of experience in the financial industry and is registered to provide investment advice in several states. Michael is a highly experienced financial professional with a broad range of experience in the industry. Michael has held several positions at firms such as Morgan Stanley Smith Barney, Citigroup Global Markets Inc., Chase Investment Services Corp. and American Express Financial Advisors Inc.
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
08/25/2012 - Present
UBS Financial Services Inc. (HOUSTON TX)
TX
06/01/2009 - 09/05/2012
MORGAN STANLEY SMITH BARNEY (HOUSTON TX)
TX
01/17/2006 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (HOUSTON TX)
IL
03/01/1999 - 01/17/2006
CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)
TX
08/27/1997 - 03/01/1999
CHASE SECURITIES OF TEXAS, INC. (HOUSTON TX)
MN
12/13/1995 - 03/11/1996
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
IA
Issued 03/31/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/28/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/15/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 12/12/1995
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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