Michael W. Riemerschmid
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael Walter Riemerschmid, who also goes by Michael Riemerschmid, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1989. Michael had worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 26, 2016 - October 28, 2019
UBS SECURITIES LLC
October 19, 2015 - August 8, 2016
NOMURA SECURITIES INTERNATIONAL, INC.
October 20, 2014 - October 16, 2015
NATIXIS SECURITIES AMERICAS LLC
September 8, 2009 - October 14, 2014
EXANE, INC.
January 9, 2007 - July 23, 2009
UBS SECURITIES LLC
March 3, 2003 - November 15, 2006
SANFORD C. BERNSTEIN & CO., LLC
August 27, 1998 - February 18, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 4, 1996 - April 15, 1998
BNP PARIBAS SECURITIES CORP.
August 31, 1994 - November 22, 1995
HYPO SECURITIES INC.
February 14, 1989 - January 1, 1990
DRESDNER SECURITIES (USA) INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
UBS SECURITIES LLC
CRD#: 7654 / SEC#: 801-67178, 8-22651
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC | MEMBER, VOTING | |
| CASAVECHIA, RICHARD MICHAEL | MANAGING DIRECTOR, SENIOR MANAGER INVESTMENT BANKING | 4732235 |
| DIMARCO, PATRICK M | CHIEF COMPLIANCE OFFICER | 4549136 |
| EBERT, MICHAEL J | PRESIDENT AND CHAIR OF THE BOARD | 4556059 |
| HAZELWOOD, TRICIA | MANAGING DIRECTOR, SENIOR MANAGER TRADING & SALES | 4232035 |
| LOFTUS, MICHAEL L | MANAGING ATTORNEY, INVESTMENT BANKING & CAPITAL MARKETS | 4176467 |
| MATTONE, RALPH MICHAEL | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| NIETO, CALLUM | PRINCIPAL OPERATIONS OFFICER | 6765482 |
| VAN TASSEL, JAMES C | MANAGING DIRECTOR, US EQUITIES RESEARCH | 2558212 |
Disclosures
| Regulatory Event | 308 |
| Civil Event | 4 |
| Arbitration | 3 |
Red Flags
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