Michael John Sherman

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2016-06-03
ME	RA	APPROVED	2010-08-11
CT	RA	APPROVED	2009-04-09

TX RA
APPROVED_RES

Since 2016-06-03
ME RA
APPROVED

Since 2010-08-11
CT RA
APPROVED

Since 2009-04-09

Branch Locations

8 Wright Street, Westport, CT 06880-4701 • United States

Bristol, ME • United States

Wilton, CT • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc	Westport	CT	04/2009	Present

04/2009 → Present

Ubs Financial Services Inc

Westport, CT

Previous Registrations

2003-10-03 → 2009-04-23

Citigroup Global Markets Inc.

Westport, CT

Westport, CT
1998-03-26 → 2003-10-30

A. G. Edwards & Sons, Inc.

Darien, CT

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-03-17
S63	Uniform Securities Agent State Law Examination	1983-01-18

S65 Uniform Investment Adviser Law Examination

1998-03-17
S63 Uniform Securities Agent State Law Examination

1983-01-18

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

Other Investors

Other Offices

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