Michael Mcwhorter

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2009-03-19
CA	RA	APPROVED	2009-03-10

TX RA
APPROVED_RES

Since 2009-03-19
CA RA
APPROVED

Since 2009-03-10

Branch Locations

555 California St 34Th, 36Th & 46Th Floors, San Francisco, CA 94104 • 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	San Francisco	CA	03/2009	Present

03/2009 → Present

Ubs Financial Services Inc

San Francisco, CA

Previous Registrations

2007-04-02 → 2009-03-10

Morgan Stanley & Co. Llc

San Francisco, CA
1998-08-24 → 2007-04-02

Morgan Stanley Dw Inc.

San Francisc, CA

San Francisco, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-01-16
S63	Uniform Securities Agent State Law Examination	1998-01-13

S65 Uniform Investment Adviser Law Examination

1998-01-16
S63 Uniform Securities Agent State Law Examination

1998-01-13

Other Names

Mike Mcwhorter
Michael Christopher Mcwhorter
Michael Christopher Christopher Mcwhorter

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews