Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Butler is an Investment Advisor Representative with UBS Financial Services Inc. Michael has been in the securities industry since 1996 and has a wide range of experience in the financial services industry. He has held positions with Merrill Lynch, Pierce, Fenner & Smith Incorporated, BANC OF AMERICA INVESTMENT SERVICES, INC., QUASAR DISTRIBUTORS, LLC, SUNAMERICA CAPITAL SERVICES, INC., AMERICAN GENERAL FUNDS DISTRIBUTORS, INC., and VAN KAMPEN FUNDS INC. Michael is registered with the state of Texas and holds a series 6, 7, 10, 24, 26, 63, and 66 license. Michael is also a registered principal with UBS Financial Services Inc. and is qualified to provide financial planning, portfolio management, and educational seminars to clients.
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
10/12/2018 - Present
UBS Financial Services Inc. (Houston TX)
TX
10/23/2009 - 08/17/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HOUSTON TX)
TX
10/06/2003 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (ADDISON TX)
ME
02/05/2003 - 06/16/2003
QUASAR DISTRIBUTORS, LLC (PORTLAND ME)
NJ
10/10/2001 - 12/19/2002
SUNAMERICA CAPITAL SERVICES, INC. (JERSEY CITY NJ)
MA
06/13/2000 - 10/05/2001
AMERICAN GENERAL FUNDS DISTRIBUTORS, INC. (BOSTON MA)
TX
08/27/1996 - 08/19/1999
VAN KAMPEN FUNDS INC. (HOUSTON TX)
BOTH
Issued 10/12/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/13/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/14/2010
Series 24 - General Securities Principal Examination
BC
Issued 06/19/2007
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/13/1998
Series 7 - General Securities Representative Examination
BC
Issued 08/26/1996
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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