Michael Cotter

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2004-01-06

TX RA
APPROVED_RES

Since 2004-01-06

Branch Locations

One Post Office Square, Boston, MA 02109 • United States

1200 Harbor Boulevard, Weehawken, NJ 07086 • UNITED STATES

Wellesley, MA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc.	Boston	MA	09/1997	Present
Putnam Investments	Franklin	MA	06/1996	Present

09/1997 → Present

Ubs Financial Services Inc.

Boston, MA
06/1996 → Present

Putnam Investments

Franklin, MA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-06-15
S63	Uniform Securities Agent State Law Examination	1997-11-03

S65 Uniform Investment Adviser Law Examination

1998-06-15
S63 Uniform Securities Agent State Law Examination

1997-11-03

Other Names

Michael Andrew Cotter

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews