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MA

Michael W. Alexander

UBS ASSET MANAGEMENT (US)
Stamford, CT 06901
Some features on this profile are disabled
CRD#: 4243332
MA

Professional summary

Michael William Alexander is a registered financial professional currently at UBS ASSET MANAGEMENT (US) INC. located in Stamford, Connecticut.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2004. Michael has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael William Alexander's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

June 23, 2005 - Present

UBS ASSET MANAGEMENT (US) INC.

Office #1: 600 Washington Blvd 9th Floor, Stamford, CT 06901
BD
CRD#: 583
Stamford, CT
Past

January 28, 2013 - October 5, 2018

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

October 26, 2010 - January 14, 2013

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

December 14, 2004 - May 27, 2005

BRINKER CAPITAL SECURITIES, LLC

BD
CRD#: 38123
BERWYN, PA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(1/29/2010)
RR
Maine
(1/29/2010)
RR
Massachusetts
(1/29/2010)
RR
New Hampshire
(1/29/2010)
RR
New Jersey
(2/14/2025)
RR
New York
(2/14/2025)
RR
Rhode Island
(1/29/2010)
RR
Vermont
(1/29/2010)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/8/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/13/2004
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/25/2010
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

UA
UBS ASSET MANAGEMENT (US) INC.
BRINSON ADVISORS | UBS GLOBAL ASSET MANAGEMENT (US) INC. | UBS GLOBAL ASSET MANAGEMENT | UBS ASSET MANAGEMENT (US) INC. | PAINE WEBBER MITCHELL HUTCHINS INC. | MITCHELL HUTCHINS ASSET MANAGEMENT INC. | BRINSON ADVISORS, INC.

CRD#: 583 / SEC#: , 8-21901

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
1285 Avenue Of The Americas, New York, NY 10019
Mailing Address
1285 Avenue Of The Americas, New York, NY 10019
Phone number
(212) 821-3000
Established
Delaware since 05/05/1977
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
UBS AMERICAS INC.DIRECT OWNER
BELASCO, MICHAEL SCOTTPRESIDENT AND CEO4649742
HORAN, KATHLEEN ELIZABETHCHIEF FINANCIAL OFFICER - FINOP5188874
KEMPER, MARK FREDERICKSECRETARY AND CHIEF LEGAL COUNSEL4347419
MULLEN, BARRY JOHNCHIEF COMPLIANCE OFFICER1814958

Disclosures

Regulatory Event10

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.

Company Information

UBS ASSET MANAGEMENT (US) INC.

CRD#: 583Stamford, CT 06901

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