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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2023-08-09 |
| CO | RA | APPROVED | 2023-06-12 |
| CA | RA | APPROVED | 2015-11-09 |
| TX | RA | APPROVED | 2015-11-06 |
Branch Locations
3011 Townsgate Road Suite 300, Westlake Village, CA 91361 • United States
Argyle, TX • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Westlake Village | CA | 11/2015 | Present |
NAME: THE MICHAEL AND NICOLE SHERMAN LIVING TRUST2.INVESTMENT RELATED: (YES OR NO) YES, I MAKE INVESTMENTS ON MY OWN BEHALF AND FOR MY FAMILY.3.ADDRESS: 2815 TOWNSGATE ROAD #300 WESTLAKE VILLAGE, CA 91361 (USE WORK ADDRESS FOR U4, AS I DO NOT WANT MY HOME ADDRESS ON MY U4 FOR PUBLIC VIEW)4.NATURE: PERSONAL LIVING TRUST; ESTATE PLANNING FOR MY FAMILY.5.YOUR POSITION, TITLE, ASSOCIATION: SENIOR FINANCIAL ADVISOR / ASSISTANT VICE PRESIDENT / MERRILL LYNCH GLOBAL PRIVATE CLIENT6.START DATE: 12/15/1995-EMPLOYMENT DATE AT ML / TRUST DATE 1/24/2000 7.NUMBER OF HOURS DEVOTED PER MONTH: 2 = PAYING BILLS, REVIEWING BALANCES, FUNDS TRANSFER, DIRECT DEPOSIT, ATM WITHDRAWALS, VISA CHARGES, MISC. BANKING.8.NUMBER OF HOURS DEVOTED DURING SECURITIES TRADING HOURS: < 1HOUR A MONTH MAKING INVESTMENT DECISIONS. 9.DUTIES: CHECKING ACCOUNT, PAYING BILLS, MAKING INVESTMENTS, MISC. BANKING SERVICES. 2) Name of Business: The Michael Ivor Kart 1994 Living Trust/Nature of Business: My wife and I were appointed as successor trustee's to family trust. The trust funds are not at UBS nor was the grantor a client of UBS. We are distributing the trust estate to sister, Lake Forrest College Athletics and ourselves in a simple cash distribution. Will also file final tax returns on behalf of the estate./Address: 3446 Woody Creek Evergreen,CO./Role/Duties: My wife and I were appointed as successor trustee's to family trust. The trust funds are not at UBS nor was the grantor a client of UBS. We are distributing the trust estate to sister, Lake Forrest College Athletics and ourselves in a simple cash distribution. Will also file final tax returns on behalf of the estate./Start Date:11/2/2022/Hours Devoted: N/A.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-03-05 |
| S63 | Uniform Securities Agent State Law Examination | 1996-08-16 |
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