Michael P. Culnan
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 Patrick Culnan was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2000. Michael had worked at 3 firms and has passed the Series 63 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 14, 2003 - January 1, 2010
UBS SERVICES USA LLC
December 10, 2001 - April 22, 2013
UBS FINANCIAL SERVICES INC.
April 5, 2000 - December 11, 2001
GOLDMAN SACHS & CO. LLC
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 SERVICES USA LLC
CRD#: 46330 / SEC#: , 8-51404
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC. | OWNER | |
| BURCHARD, ROGER FRANK | CHIEF COMPLIANCE OFFICER | 1847103 |
| FREY, WILLIAM PATRICK | CHIEF FINANCIAL OFFICER | 2369814 |
| FRIMMEL, DIANE | PRESIDENT, CHIEF EXECUTIVE OFFICER, CHIEF OPERATING OFFICER | 2053020 |
| KING, TAMBRA SUZANNE | CORPORATE SECRETARY | 2212318 |
| SHELTON, MARK STEVEN | GENERAL COUNSEL, EXECUTIVE VICE PRESIDENT | 4784512 |
| STIPP, PETER | MANAGING DIRECTOR OF OPERATIONS | 5290752 |
Red Flags
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