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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 Julian Rhodes is a financial advisor with UBS Financial Services Inc., providing comprehensive financial services for over 20 years. Michael is committed to helping individuals and families achieve their financial goals through personalized strategies. He has a strong track record of success and is dedicated to providing exceptional client service. Michael holds a variety of professional licenses and designations, including the Series 7, 9, 10, 31, and 66 licenses. Michael has experience in a range of investment areas, including stocks, bonds, mutual funds, options, and futures.
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
FL
08/26/2013 - Present
UBS Financial Services Inc. (NAPLES FL)
CA
06/01/2009 - 08/15/2013
MORGAN STANLEY (NEWPORT BEACH CA)
MA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (BOSTON MA)
MA
03/10/2006 - 04/02/2007
MORGAN STANLEY DW INC. (BOSTON MA)
MA
12/10/1999 - 03/16/2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BOSTON MA)
BOTH
Issued 02/08/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/24/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/23/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/22/2007
Series 31 - Futures Managed Funds Examination
BC
Issued 12/09/1999
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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