Michael L. Morton
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 L Morton, who also goes by Mike Morton, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1974. Michael had worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, SIE, PC, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 6, 2009 - August 17, 2021
UBS FINANCIAL SERVICES INC.
April 3, 2009 - August 17, 2021
UBS FINANCIAL SERVICES INC.
February 23, 2004 - April 23, 2009
CITIGROUP GLOBAL MARKETS INC.
February 20, 2004 - April 23, 2009
CITIGROUP GLOBAL MARKETS INC.
November 22, 1999 - March 3, 2004
KEYBANC CAPITAL MARKETS INC.
January 8, 1993 - March 3, 2004
KEYBANC CAPITAL MARKETS INC.
September 4, 1990 - January 20, 1993
WELLS FARGO CLEARING SERVICES, LLC
May 25, 1982 - September 4, 1990
PRESCOTT, BALL & TURBEN, INC.
June 15, 1979 - June 15, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 4, 1977 - June 2, 1979
THOMSON MCKINNON SECURITIES INC.
July 1, 1974 - March 4, 1977
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 9/20/1982
AMEX Put and Call ExamSeries 1
Date: 6/26/1974
Registered Representative ExaminationSeries 8
Date: 3/28/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC. | OWNER | |
| CAMACHO, MICHAEL ALAN | PRESIDENT | 2907298 |
| FRANCOMANO, LISA M. | CHIEF COMPLIANCE OFFICER FOR THE ADVISORY BUSINESS | 2263875 |
| MATTONE, RALPH | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| MOZER, PETER | MANAGING DIRECTOR | 2523858 |
| MUNFA, LAUREN | CHIEF COMPLIANCE OFFICER | 4431011 |
| SAKAI, KIYE | GENERAL COUNSEL | 7451987 |
| SOMMA, JOSEPH | PRINCIPAL OPERATIONS OFFICER | 2219496 |
Regulatory assets under management
| Total Number of Accounts | 1,134,923 |
| AUM (Assets Under Management) | $ 808,822,670,899 |
Disclosures
| Regulatory Event | 475 |
| Civil Event | 5 |
| Arbitration | 443 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/26/2025 | ||
| 05/15/2024 | ||
| 12/19/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
