Michael Harvey Hamilton

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

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2008-12-01
MO	RA	APPROVED	2008-04-28
KS	RA	APPROVED	2008-04-25

TX RA
APPROVED_RES

Since 2008-12-01
MO RA
APPROVED

Since 2008-04-28
KS RA
APPROVED

Since 2008-04-25

Branch Locations

One Hallbrook Place 11150 Overbrook Road, Leawood, KS 66211-2298 • 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	Leawood	KS	07/2013	Present

07/2013 → Present

Ubs Financial Services Inc

Leawood, KS

Previous Registrations

2001-03-23 → 2008-05-05

Citigroup Global Markets Inc.

Leawood, KS

Leawood, KS

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2001-06-07
S63	Uniform Securities Agent State Law Examination	1992-08-21

S65 Uniform Investment Adviser Law Examination

2001-06-07
S63 Uniform Securities Agent State Law Examination

1992-08-21

View on SEC IAPD

Employer firm

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Previous Registrations

Exams

Nearby Firms

Nearby Investors

Nearby Offices

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