Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Scott Bromberg is a financial advisor with over 27 years of experience in the industry. Michael is currently registered with UBS Financial Services Inc. in New York and Texas. Previously, Michael was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley, and Morgan Stanley & Co. Incorporated, among others. Michael holds Series 63, 65, and 7 licenses and the SIE. Michael specializes in portfolio management for individuals and businesses, financial planning, and pension consulting.
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
06/02/2023 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
02/13/2014 - 06/05/2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
06/01/2009 - 02/21/2014
MORGAN STANLEY (NEW YORK NY)
NY
07/30/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)
NY
02/16/2001 - 08/08/2007
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
NY
03/09/1998 - 03/01/2001
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NY
11/15/1995 - 03/04/1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
04/18/1995 - 10/12/1995
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
02/21/1995 - 03/17/1995
GKN SECURITIES CORP. (NEW YORK NY)
IA
Issued 12/14/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/23/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/17/1995
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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