Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Riordan has been working in the financial services industry since January 1970. Michael is a registered representative with UBS Financial Services Inc. and is currently licensed to practice in New York, Texas, and Florida. Michael has a wide range of experience in the financial services industry, having worked with a variety of firms, including Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., and Reynolds Securities, Inc. Michael holds a variety of licenses and certifications, including Series 7, Series 8, Series 63, and Series 65. Michael is also a member of several industry organizations, including the Country Club of Rochester and the Highland Hospital Pension Committee. Michael is a dedicated professional with a strong commitment to helping clients achieve their financial goals.
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
NY
02/23/2009 - Present
UBS Financial Services Inc. (ROCHESTER NY)
NY
04/02/2007 - 02/24/2009
MORGAN STANLEY & CO. INCORPORATED (ROCHESTER NY)
NY
02/24/1978 - 04/02/2007
MORGAN STANLEY DW INC. (ROCHESTER NY)
NA
01/09/1970 - 02/24/1978
REYNOLDS SECURITIES, INC.
IA
Issued 10/30/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/09/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/22/1990
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/11/1982
Series 5 - Interest Rate Options Examination
BC
Issued 04/01/1977
PC - AMEX Put and Call Exam
BC
Issued 04/25/1969
Series 1 - Registered 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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