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Michael Aaron Guild

Ubs Financial Services Inc.

New York, NY

Brooklyn, NY

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-10-26
TX RA APPROVED_RES 2020-03-09
NJ RA APPROVED 2015-12-03
  • NY RA
    APPROVED
    Since 2021-10-26
  • TX RA
    APPROVED_RES
    Since 2020-03-09
  • NJ RA
    APPROVED
    Since 2015-12-03

Branch Locations

1285 Avenue Of The Americas 19Th Floor, New York, NY 10019 • United States

Brooklyn, NY • 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. New York NY 12/2015 Present
Previous Registrations
  • 2012-08-13 → 2015-12-21
    Credit Suisse Securities (Usa) Llc
    New York, NY
  • 2008-10-01 → 2012-05-15
    J.P. Morgan Securities Llc
    New York, NY
    New York, NY
  • 2007-01-08 → 2008-10-01
    J.P. Morgan Securities Inc.
    New York, NY
    New York, NY
  • 2005-03-18 → 2006-09-21
    J.P. Morgan Investment Management Inc.
    New York, NY
    New York, NY
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2006-12-19
S65 Uniform Investment Adviser Law Examination 2005-03-17
  • S63 Uniform Securities Agent State Law Examination
    2006-12-19
  • S65 Uniform Investment Adviser Law Examination
    2005-03-17

View on SEC IAPD

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KINYAN CAPITAL MANAGEMENT LLC · NEW YORK, NY
BRIGHTSPIRE CAPITAL ADVISORS, LLC · NEW YORK, NY
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