Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Thomas Cloherty is a financial advisor with UBS Securities LLC. Michael has been in the financial services industry since May 9, 1998. Michael is registered with the Financial Industry Regulatory Authority (FINRA) and holds the following licenses: Series 3, Series 7, Series 24 and Series 63. Michael has a previous registration with RBC Capital Markets, LLC. Michael has been with UBS Securities LLC since January 28, 2020.
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.
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.
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2
NY
01/28/2020 - Present
UBS Securities LLC (NEW YORK NY)
NY
06/25/2010 - 11/05/2019
RBC CAPITAL MARKETS, LLC (NEW YORK NY)
NY
02/06/2009 - 06/23/2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
04/28/2005 - 02/06/2009
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
NY
01/16/1998 - 03/28/2005
CREDIT SUISSE FIRST BOSTON LLC (NEW YORK NY)
BC
Issued 02/19/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/28/2006
Series 24 - General Securities Principal Examination
BC
Issued 11/28/2018
Series 3 - National Commodity Futures Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/13/1998
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
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FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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