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Michael Grant Ellington

Ubs Financial Services Inc.

Chicago, IL

Henderson, NV

La Grange, IL

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NV RA APPROVED 2021-07-26
TX RA APPROVED_RES 2003-01-21
IL RA APPROVED 1997-09-22
  • NV RA
    APPROVED
    Since 2021-07-26
  • TX RA
    APPROVED_RES
    Since 2003-01-21
  • IL RA
    APPROVED
    Since 1997-09-22

Branch Locations

1 North Wacker Drive 32Nd & 33Rd, Chicago, IL 60606 • United States

Henderson, NV • United States

La Grange, IL • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc. Chicago IL 02/1993 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-05-26
S63 Uniform Securities Agent State Law Examination 1993-05-14
  • S65 Uniform Investment Adviser Law Examination
    1993-05-26
  • S63 Uniform Securities Agent State Law Examination
    1993-05-14
Other Names
  • Michael Ellington

View on SEC IAPD

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GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL
GUGGENHEIM INVESTMENTS · CHICAGO, IL
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PROSPECT PARTNERS ADVISORS LLC · CHICAGO, IL
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