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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 Brown is a financial advisor with UBS Financial Services Inc. Michael has over 30 years of experience in the financial services industry. Michael is registered with the Securities and Exchange Commission (SEC) and is a Registered Representative (RR) of FINRA. Michael is also registered as an Investment Advisor Representative (IAR) in Missouri. Michael has earned the Series 3, 7, 63 and 65 securities licenses. Michael specializes in portfolio management for individuals, businesses, pension plans and charitable organizations.
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
MO
02/29/2016 - Present
UBS Financial Services Inc. (KANSAS CITY MO)
NY
09/19/1995 - 10/17/1995
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
06/01/1995 - 09/07/1995
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
CA
03/30/1994 - 06/02/1995
GREAT WESTERN FINANCIAL SECURITIES CORPORATION (NORTHRIDGE CA)
NY
06/03/1991 - 10/06/1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
CA
03/25/1991 - 09/03/1991
KENNEDY, CABOT & CO. (BEVERLY HILLS CA)
CA
12/12/1990 - 02/08/1991
WEDBUSH MORGAN SECURITIES INC. (LOS ANGELES CA)
IA
Issued 02/29/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/18/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/25/1992
Series 3 - National Commodity Futures Examination
BC
Issued 12/10/1990
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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