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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 Phillips is a financial advisor who has been in the industry since 1992. He is currently registered with UBS Financial Services Inc. and holds a variety of licenses and registrations, including Series 7, 63, 65, 9, 10, and 31. Michael Phillips has a background in providing financial planning and investment advice to individuals and businesses. Michael Phillips's experience and qualifications suggest he is a knowledgeable and experienced financial advisor who can provide guidance on a variety of financial matters.
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
MD
06/15/2016 - Present
UBS Financial Services Inc. (ANNAPOLIS MD)
MD
04/02/2007 - 12/15/2008
MORGAN STANLEY & CO. INCORPORATED (ANNAPOLIS MD)
MD
09/24/1992 - 04/02/2007
MORGAN STANLEY DW INC. (ANNAPOLIS MD)
IA
Issued 04/25/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/02/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/14/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/01/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/25/2000
Series 31 - Futures Managed Funds Examination
BC
Issued 09/18/1992
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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