Michael Andrew Bates

Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2009 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691
  Ontario, CA
• 03/2012 → 05/2019
  Bank Of America, N.A.
  Riverside, CA
• 05/2019 → Present
  Ubs Financial Services
  Beverly Hills, CA

Previous Registrations

• 2009-03-20 → 2019-05-28
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Ontario, CA
  Riverside, CA
• 2000-08-01 → 2009-04-08
  Citigroup Global Markets Inc.
  Claremont, CA
  Clarmont, CA

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-01-10
• S63 Uniform Securities Agent State Law Examination
  1996-12-23