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Michael Julian Rhodes

Ubs Financial Services Inc.

Naples, FL

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2017-07-18
GA RA APPROVED 2016-08-17
TX RA APPROVED 2013-08-26
  • FL RA
    APPROVED
    Since 2017-07-18
  • GA RA
    APPROVED
    Since 2016-08-17
  • TX RA
    APPROVED
    Since 2013-08-26

Branch Locations

801 Laurel Oak Drive Suite 201, Naples, FL 34108 • 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. Atlanta GA 08/2016 Present
Previous Registrations
  • 2009-06-01 → 2013-08-15
    Morgan Stanley
    Rancho Sante Fe, CA
    Newport Beach, CA
    Boston, MA
    San Diego, CA
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Boston, MA
  • 2006-03-13 → 2007-04-02
    Morgan Stanley Dw Inc.
    Boston, MA
  • 2002-07-23 → 2005-12-31
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Boston, MA
    Boston, MA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-02-08
  • S66 Uniform Combined State Law Examination
    2000-02-08
Other Names
  • Michael J Rhodes
  • Michael Julian Rhodes
  • Michael Julian Julian Rhodes

View on SEC IAPD

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CAPITAL WEALTH PLANNING, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
NTV FRONTIER MANAGEMENT

Other Investors

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RUDINA RUCI
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SAEGER CAY OLSEN
MIGUEL ALEJANDRO ALVAREZ
Manuel Espinosa
Ethan Nathaniel Stern
DAVID MATTHEW WHITTAKER

Other Offices

TRUIST ADVISORY SERVICES, INC. · NAPLES, FL
TRUIST ADVISORY SERVICES, INC. · NAPLES, FL
WELLS FARGO CLEARING SERVICES, LLC · NAPLES, FL
J.P. MORGAN SECURITIES LLC · NAPLES, FL
SYNOVUS SECURITIES, INC. · NAPLES, FL
LPL FINANCIAL LLC · NAPLES, FL
CAPITAL WEALTH PLANNING, LLC · NAPLES, FL
AMERIPRISE FINANCIAL SERVICES, LLC · NAPLES, FL

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