Michael-alexander B. Ufkes
Professional summary
Michael-alexander Benjamin Ufkes, who also goes by Michael Benjamin Ufkes, Michael Ufkes, is a registered financial advisor currently at UNITED CAPITAL FINANCIAL ADVISORS located in Los Angeles, California.
Michael-alexander is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Michael-alexander has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Michael-alexander Benjamin Ufkes's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 22, 2025 - Present
UNITED CAPITAL FINANCIAL ADVISORS
Office #1: 1901 Avenue Of The Stars Suite 200, Los Angeles, CA 90067May 24, 2016 - August 25, 2025
MORGAN STANLEY
May 24, 2016 - August 25, 2025
MORGAN STANLEY
September 24, 2015 - June 10, 2016
UBS FINANCIAL SERVICES INC.
June 25, 2015 - June 10, 2016
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
UNITED CAPITAL FINANCIAL ADVISORS
CRD#: 134600 / SEC#: 801-64376
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(8/22/2025)
(8/22/2025)
(8/22/2025)
Exams
Current Firm
UNITED CAPITAL FINANCIAL ADVISORS
CRD#: 134600 / SEC#: 801-64376
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,738 |
| AUM (Assets Under Management) | $ 17,211,052,120 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/01/2024 | ||
| 10/30/2023 | ||
| 01/26/2023 |
Red Flags
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