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Michael S Rolfes

Ubs Financial Services Inc.

Cincinnati, OH

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
KY RA APPROVED 2024-01-16
OH RA APPROVED 2022-10-20
  • KY RA
    APPROVED
    Since 2024-01-16
  • OH RA
    APPROVED
    Since 2022-10-20

Branch Locations

8044 Montgomery Road The Towers At Kenwood, Cincinnati, OH 45236 • 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
The Ayco Company, L.P./Mercer Allied Latham NY 03/2014 02/2017
Fifth Third Securities Cincinnati OH 06/2018 Present
Fifth Third Bank Cincinnati OH 03/2017 Present
Ubs Financial Services.iNc Cincinnati OH 07/2022 Present
  • 03/2014 → 02/2017
    The Ayco Company, L.P./Mercer Allied
    Latham, NY
  • 06/2018 → Present
    Fifth Third Securities
    Cincinnati, OH
  • 03/2017 → Present
    Fifth Third Bank
    Cincinnati, OH
  • 07/2022 → Present
    Ubs Financial Services.iNc
    Cincinnati, OH
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-11-18
S63 Uniform Securities Agent State Law Examination 2008-09-15
  • S66 Uniform Combined State Law Examination
    2009-11-18
  • S63 Uniform Securities Agent State Law Examination
    2008-09-15
Designations
Other Names
  • Michael S Rolfes
  • Michael Steven Rolfes
  • Michael Rolfes

View on SEC IAPD

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CHRISTOPHER CHARLES HAIS
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JEFFREY ROBERT WALKUP
MICHAEL WILLIAM POPIL
BETH OKABAYASHI HODGES

Other Offices

QUEEN CITY CAPITAL MANAGEMENT, LLC · CINCINNATI, OH
OSAIC WEALTH, INC. · CINCINNATI, OH
BAHL & GAYNOR LLC · CINCINNATI, OH
BRIXEY & MEYER CAPITAL LLC · CINCINNATI, OH
OPUS CAPITAL MANAGEMENT · CINCINNATI, OH
FORMIDABLE ASSET MANAGEMENT, LLC · CINCINNATI, OH
RC CAPITAL · CINCINNATI, OH
STIFEL, NICOLAUS & COMPANY, INCORPORATED · CINCINNATI, OH

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