Michael W. William Lau

Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2013-02-11
MI	RA	APPROVED	2010-09-16
OK	RA	APPROVED	2004-12-08

TX RA
APPROVED_RES

Since 2013-02-11
MI RA
APPROVED

Since 2010-09-16
OK RA
APPROVED

Since 2004-12-08

Branch Locations

325 North Old Woodward Ave Suite 200, Birmingham, MI 48009 • United States

Rochester Hills, MI • 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.	Rochester	MI	12/1987	Present

12/1987 → Present

Ubs Financial Services Inc.

Rochester, MI

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-02-05
S63	Uniform Securities Agent State Law Examination	1983-07-29

S65 Uniform Investment Adviser Law Examination

1996-02-05
S63 Uniform Securities Agent State Law Examination

1983-07-29

Other Names

Michael Lau
Michael William Lau

View on SEC IAPD