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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 1999-10-08
  • TX RA
    APPROVED
    Since 1999-10-08

Branch Locations

1700 West Wall St Suite 220, Midland, TX 79701 • 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 Midland TX 11/2013 Present
Other Businesses

1)PREJOS PARTNERS / MIDLAND, TEXAS 79705 / PARTNERSHIP / OIL & GAS INDUSTRIES (EXPLORATION, PRODUCTION, INTEGRATED) / INVESTMENT IN ENERGY RELATED INVESTMENTS / IS THIS AN INDUSTRY SECTOR ORGANIZATION? NO / PARTNER / MANAGE PARTNERSHIP / WILL YOU HAVE AUTHORITY TO MAKE INVESTMENT DECISIONS ON BEHALF OF THE COMPANY? YES/ START DATE 11/01/2004. 2) J.D.M. and J.D.M Co-Ttees of M. Family Trust U/W/D 05/08/2014/ Midland/ TX 79707/ United States/ Co-Trustee,/ Manage investments and real estate/ Start Date 5/9/2014 3)PK Lakeside Storage/Sole proprietorship/ Principal Business Activity- Boat Storage Units/ Role -Proprietor / owner/ Duty- Owner and lease empty units/ Comp - Yes

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-11-08
S63 Uniform Securities Agent State Law Examination 1994-01-26
  • S65 Uniform Investment Adviser Law Examination
    1994-11-08
  • S63 Uniform Securities Agent State Law Examination
    1994-01-26
Other Names
  • Dan Michel

View on SEC IAPD

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