Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Sherwood is a financial advisor at UBS Financial Services Inc., an investment firm with over $700 billion in assets under management. Michael has been in the financial industry since 2007, and has a wide range of experience in advising individuals, families, and businesses on their financial goals. Michael has held licenses and registrations in various states including, but not limited to, California, Colorado, Connecticut, Florida, Illinois, Maine, Maryland, Massachusetts, Michigan, Missouri, Montana, New Hampshire, New Jersey, New York, North Carolina, Pennsylvania, Rhode Island, Texas, Vermont, and Virginia. His previous employers include Spencer Trask Ventures, Inc., Assent LLC, and Edward Jones. Michael has also obtained licenses and registrations for various financial products and services. Michael's commitment to providing personalized financial advice and guidance, along with his extensive experience, has made him a respected financial advisor in the industry.
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
MA
08/07/2009 - Present
UBS Financial Services Inc. (BOSTON MA)
CT
02/07/2008 - 07/15/2009
SPENCER TRASK VENTURES, INC. (OLD GREENWICH CT)
NY
09/20/2007 - 02/08/2008
ASSENT LLC (NEW YORK NY)
NY
05/11/2007 - 07/25/2007
EDWARD JONES (NEW YORK NY)
BOTH
Issued 05/25/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/10/2007
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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