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Michael M Miremadi

Ubs Financial Services Inc.

Newport Beach, CA

CRD 2342506

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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
TX RA APPROVED_RES 2017-05-09
CA RA APPROVED 2017-05-05
  • TX RA
    APPROVED_RES
    Since 2017-05-09
  • CA RA
    APPROVED
    Since 2017-05-05

Branch Locations

888 San Clemente Drive Suite 300, Newport Beach, CA 92660 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Seal Beach CA 11/1993 05/2017
Bank Of America, Na Seal Beach CA 09/2009 05/2017
Ubs Financial Services Inc Seal Beach CA 05/2017 Present
Previous Registrations
Other Businesses

1) Name of Business: Newport Coast Ca Rental Condo./ Address: United States./ Nature: Residential Rental Property./ Role: Proprietor / owner./ Duty: Landlord/Owner, start date-5/28/2018

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-08-02
S63 Uniform Securities Agent State Law Examination 1993-05-21
  • S65 Uniform Investment Adviser Law Examination
    1994-08-02
  • S63 Uniform Securities Agent State Law Examination
    1993-05-21
Other Names
  • Mike Miremadi
  • Michael Masud Miremadi

View on SEC IAPD

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