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Michael C. Cates

Ubs Financial Services Inc.

Bend, OR

Denver, CO

Salida, CO

Centennial, CO

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2018-07-18
CO RA APPROVED 2018-02-28
  • TX RA
    APPROVED
    Since 2018-07-18
  • CO RA
    APPROVED
    Since 2018-02-28

Branch Locations

600 Sw Columbia, Ste 6200, Bend, OR 97702-3177 • United States

4600 S. Ulster Street -Suite 700 Metro Point One, Denver, CO 80237 • United States

Salida, CO • United States

Centennial, CO • 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
Aerotek Westminster CO 07/2016 12/2017
Gvc Capital Llc Greenwood Village CO 06/2017 01/2018
Ubs Financial Services, Inc. Lone Tree CO 01/2018 Present
  • 07/2016 → 12/2017
    Aerotek
    Westminster, CO
  • 06/2017 → 01/2018
    Gvc Capital Llc
    Greenwood Village, CO
  • 01/2018 → Present
    Ubs Financial Services, Inc.
    Lone Tree, CO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-02-28
  • S66 Uniform Combined State Law Examination
    2018-02-28
Other Names
  • Michael Carroll Cates

View on SEC IAPD

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