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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 Sherman is a financial advisor at UBS Financial Services Inc., where he has been employed since November 2015. Michael has over 25 years of experience in the financial services industry and holds licenses in multiple states, including California, Colorado, Florida, and Texas. Prior to joining UBS, Michael worked at Morgan Stanley and Citigroup Global Markets. He has earned numerous licenses and certifications, including Series 7, Series 9, Series 10, Series 31, Series 63, and Series 65. Michael provides financial planning, investment management, and educational seminars to individuals, families, and businesses.
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
CA
11/06/2015 - Present
UBS Financial Services Inc. (WESTLAKE VILLAGE CA)
CA
06/01/2009 - 11/17/2015
MORGAN STANLEY (WESTLAKE VILLAGE CA)
CA
11/10/2006 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (WESTLAKE VILLAGE CA)
CA
08/12/1996 - 11/14/2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WESTLAKE VILLAGE CA)
IA
Issued 03/05/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/16/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/16/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/29/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 08/09/1996
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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