Eileen B. Michaels
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.
Eileen Barbara Michaels, who also goes by Eileen Feinstein, Eileen B Michaels, Eileen Feinstein Michaels, was a registered financial professional .
Eileen is a previously registered financial professional and started their career in finance in 1979. Eileen had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 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
January 9, 2009 - May 15, 2015
UBS FINANCIAL SERVICES INC.
April 2, 2007 - January 12, 2009
MORGAN STANLEY & CO. LLC
August 9, 2000 - April 2, 2007
MORGAN STANLEY DW INC.
April 4, 1996 - August 9, 2000
LEGG MASON WOOD WALKER, INCORPORATED
January 7, 1987 - April 12, 1996
PRUDENTIAL EQUITY GROUP, LLC
September 7, 1982 - January 12, 1987
MOSELEY SECURITIES CORPORATION
June 11, 1981 - August 10, 1982
TUCKER ANTHONY INCORPORATED
September 19, 1979 - June 12, 1981
MOSELEY SECURITIES CORPORATION
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 8
Date: 4/18/1990
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.
