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ML

Michael Lemos

UBS FUND SERVICES (USA) LLC
Hartford, CT 06103
Some features on this profile are disabled
CRD#: 4413888
ML

Professional summary

Michael Lemos, who also goes by Michael Domingos Lemos, is a registered financial professional currently at UBS FUND SERVICES (USA) LLC located in Hartford, Connecticut and UBS ASSET MANAGEMENT (US) INC. located in Stamford, Connecticut.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2003. Michael has worked at 6 firms and has passed the Series 66, Series 99TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael Domingos Lemos

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 Lemos'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

January 14, 2015 - Present

UBS FUND SERVICES (USA) LLC

Office #1: 10 State House Square 12th Floor, Hartford, CT 06103
BD
CRD#: 41848
Hartford, CT
Current

June 12, 2020 - Present

UBS ASSET MANAGEMENT (US) INC.

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

January 5, 2012 - January 12, 2015

SAYBRUS EQUITY SERVICES, LLC

BD
CRD#: 153319
HARTFORD, CT
Past

February 17, 2011 - January 18, 2012

WALNUT STREET SECURITIES, INC.

RIA
CRD#: 15840
WETHERSFIELD, CT
Past

February 17, 2011 - January 18, 2012

WALNUT STREET SECURITIES, INC.

BD
CRD#: 15840
EL SEGUNDO, CA
Past

February 4, 2004 - January 18, 2012

TOWER SQUARE SECURITIES, INC.

RIA
CRD#: 833
WETHERSFIELD, CT
Past

February 4, 2004 - January 18, 2012

TOWER SQUARE SECURITIES, INC.

BD
CRD#: 833
EL SEGUNDO, CA
Past

March 14, 2003 - January 26, 2004

WEBSTER INVESTMENT SERVICES, INC.

RIA
CRD#: 46588
BRISTOL, CT
Past

March 14, 2003 - January 26, 2004

WEBSTER INVESTMENT SERVICES, INC.

BD
CRD#: 46588
KENSINGTON, CT

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
(1/14/2015)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/24/2001
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/12/2003
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/25/2005
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
787 7th Avenue, New York, NY 10019
Mailing Address
787 7th Avenue, 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#: 583Hartford, CT 06103

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