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Michael Richard Gatewood

Ubs Financial Services Inc.

Chicago, IL

Chicago, IL

CRD 4138908

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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:

Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2010-09-17
IL RA APPROVED 2006-07-25
  • MI RA
    APPROVED
    Since 2010-09-17
  • IL RA
    APPROVED
    Since 2006-07-25

Branch Locations

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

One North Wacker Drive Ste 3300, Chicago, IL 60606 • 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 03/2014 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-07-24
S63 Uniform Securities Agent State Law Examination 2000-11-17
  • S66 Uniform Combined State Law Examination
    2006-07-24
  • S63 Uniform Securities Agent State Law Examination
    2000-11-17
Other Names
  • Michael Richard Gatewood

View on SEC IAPD

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Nearby Investors

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Nearby Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL

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