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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 John Sherman is an investment advisor representative with UBS Financial Services Inc. Michael has been in the financial services industry since February 1982. Michael has worked at two previous firms before joining UBS Financial Services Inc., including CITIGROUP GLOBAL MARKETS INC. and A. G. EDWARDS & SONS, INC. Michael holds various securities licenses including Series 3, 7, 8, 10, 63, and 65, as well as a Series 9, 10 and 8 principal exam. Michael is currently registered as a broker-dealer in 24 states and an investment adviser in 3 states.
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
CT
06/03/2016 - Present
UBS Financial Services Inc. (WESTPORT CT)
CT
10/03/2003 - 04/23/2009
CITIGROUP GLOBAL MARKETS INC. (WESTPORT CT)
MO
11/12/1984 - 10/30/2003
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
NA
02/25/1982 - 11/15/1984
PAINEWEBBER INCORPORATED
IA
Issued 03/17/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/18/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/02/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/19/1982
Series 3 - National Commodity Futures Examination
BC
Issued 02/20/1982
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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