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Michael David David Shain

Ubs Financial Services Inc.

Greenville, SC

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2025-10-14
  • SC RA
    APPROVED
    Since 2025-10-14

Branch Locations

17 West Mcbee Ave Poinsett Plaza, Greenville, SC 29601 • 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
OrganizationCityStateFromTo
Ubs Financial Services Inc. Greenville SC 08/2000 02/2024
Ubs Financial Services Inc. Greenville SC 02/2024 Present
Previous Registrations
Other Businesses

B & L INC, GREENVILLE, SC. YES, INVESTMENT RELATED. BUSINESS - REAL ESTATE. TITLE - PRESIDENT. START DATE - 01/01/1978. HRS/MONTH 10 MONTHS, 30 MINUTES A DAY. DUTIES - MAINTENANCE OF REAL ESTATE.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-07
S63 Uniform Securities Agent State Law Examination 1992-01-07
  • S65 Uniform Investment Adviser Law Examination
    1999-12-07
  • S63 Uniform Securities Agent State Law Examination
    1992-01-07
Other Names
  • Michael David Shain

View on SEC IAPD

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