Michael Wellins

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	2026-06-22

TX RA
APPROVED

Since 2026-06-22

Branch Locations

4400 Post Oak Parkway Suite 1700, Houston, TX 77027 • 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 Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Ubs Securities Llc	New York	NY	08/2013	Present

08/2013 → Present

Ubs Securities Llc

New York, NY

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2026-06-18
S63	Uniform Securities Agent State Law Examination	2001-11-16

S66 Uniform Combined State Law Examination

2026-06-18
S63 Uniform Securities Agent State Law Examination

2001-11-16

Other Names

Michael D Wellins
Michael David Wellins
Michael David David Wellins

View on SEC IAPD

Employer firm

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Exams

Other Names

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