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Michael Patrick Rafferty

Ubs Financial Services Inc.

Richmond, VA

Richmond, VA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2023-08-05
  • VA RA
    APPROVED
    Since 2023-08-05

Branch Locations

951 East Byrd Street, Richmond, VA 23219 • United States

Richmond, VA • 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
Edelman Financial Engines Henrico VA 10/2016 09/2021
Total Quality Logistics Midlothian VA 05/2016 10/2016
Ubs Financial Services Inc Richmond VA 09/2021 Present
  • 10/2016 → 09/2021
    Edelman Financial Engines
    Henrico, VA
  • 05/2016 → 10/2016
    Total Quality Logistics
    Midlothian, VA
  • 09/2021 → Present
    Ubs Financial Services Inc
    Richmond, VA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-08-05
  • S66 Uniform Combined State Law Examination
    2023-08-05

View on SEC IAPD

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JOHN JOSEPH SCHLICHTING

Other Offices

TAYLOR HOFFMAN CAPITAL MANAGEMENT · RICHMOND, VA
WEALTHCARE CAPITAL MANAGEMENT LLC · RICHMOND, VA
WEST TOWER GROUP, LLC · RICHMOND, VA
WELLS FARGO CLEARING SERVICES, LLC · RICHMOND, VA
AMERIPRISE FINANCIAL SERVICES, LLC · RICHMOND, VA
WELLS FARGO CLEARING SERVICES, LLC · RICHMOND, VA
CETERA INVESTMENT ADVISERS LLC · RICHMOND, VA
UBS FINANCIAL SERVICES INC. · RICHMOND, VA

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