Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael W Rutherford has been in the securities industry since 2010. Michael is a registered representative with UBS Securities LLC, where Michael has been employed since 9/29/2023. Before that, Michael was employed at CREDIT SUISSE SECURITIES (USA) LLC from 10/24/2018 to 9/29/2023. Michael is registered in all states with a Series 7, Series 79, Series 24 and Series 63 license. Michael is also registered with FINRA.
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
09/29/2023 - Present
UBS Securities LLC (NEW YORK NY)
NY
10/24/2018 - 09/29/2023
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
NY
05/25/2012 - 10/17/2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
10/01/2008 - 04/23/2010
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
08/04/2008 - 10/01/2008
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
BC
Issued 05/30/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/04/2017
Series 24 - General Securities Principal Examination
BC
Issued 08/05/2022
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/24/2012
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 08/02/2008
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.
F
FINRA
I
Investors' Exchange LLC
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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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