Michael Louis Appelbaum

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
CO	RA	APPROVED	2024-01-31
TX	RA	APPROVED	2009-02-06

CO RA
APPROVED

Since 2024-01-31
TX RA
APPROVED

Since 2009-02-06

Branch Locations

4400 Post Oak Parkway 17Th Floor, Houston, TX 77027 • United States

Houston, TX • United States

Disclosures

2 disclosure categories 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 Yes
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	Houston	TX	01/2009	Present

01/2009 → Present

Ubs Financial Services Inc

Houston, TX

Previous Registrations

1993-08-23 → 2009-02-03

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Houston, TX

Houston, TX

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-07-15
S63	Uniform Securities Agent State Law Examination	1993-08-20

S65 Uniform Investment Adviser Law Examination

1996-07-15
S63 Uniform Securities Agent State Law Examination

1993-08-20

Other Names

Mike Appelbaum
Michael L Appelbaum

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

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