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Michael Richard Williams

Ubs Financial Services Inc.

San Francisco, CA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-03-31
HI RA APPROVED 2016-06-27
CA RA APPROVED 2008-02-05
  • TX RA
    APPROVED_RES
    Since 2020-03-31
  • HI RA
    APPROVED
    Since 2016-06-27
  • CA RA
    APPROVED
    Since 2008-02-05

Branch Locations

555 California Street 32Nd Floor, San Francisco, CA 94104 • 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 San Francisco CA 03/2008 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-06-16
S63 Uniform Securities Agent State Law Examination 1980-10-02
  • S65 Uniform Investment Adviser Law Examination
    1994-06-16
  • S63 Uniform Securities Agent State Law Examination
    1980-10-02
Other Names
  • Mike Williams
  • Michael Richard William

View on SEC IAPD

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