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Detailed Report
CLARENCE MICHAEL PICKLES
MIKE PICKLES
CRD#: 2233394
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 225 108th Avenue NE
Suite 800
Bellevue, WA 98004
Registration History
19952000200520102015202020252 FIRMS1997 - 2009 (12 years)2 FIRMS2009 - Present (16 years)BPIPER JAFFRAY INC. (CRD# 665)1992 - 1997 (4 years)
Disclosure(s)
View By:
5/14/2003
Customer Dispute
Denied
7/29/2002
Customer Dispute
Denied
7/3/2001
Customer Dispute
Settled
License(s)

State Registrations

B
Alaska 10/25/2013
B
New Mexico 5/22/2023
B
Arizona 2/6/2009
B
New York 10/2/2012
B
Arkansas 1/26/2021
B
North Carolina 5/12/2022
B
California 2/6/2009
B
North Dakota 1/5/2010
B
Colorado 1/4/2021
B
Ohio 2/25/2022
B
District of Columbia 10/24/2012
B
Oklahoma 4/18/2024
B
Florida 1/28/2013
B
Oregon 3/12/2013
B
Georgia 7/25/2017
B
Pennsylvania 1/27/2021
B
Idaho 10/21/2021
B
South Dakota 7/22/2024
B
Illinois 2/16/2021
B
Tennessee 7/25/2017
B
Maine 5/22/2023
B
Texas 2/6/2009
B
Massachusetts 2/19/2009
IA
Texas 5/19/2009
B
Michigan 1/27/2021
B
Utah 5/23/2023
B
Minnesota 5/11/2022
B
Vermont 12/15/2020
B
Missouri 1/22/2021
B
Virginia 1/27/2021
B
Montana 4/27/2017
B
Washington 2/6/2009
B
Nebraska 6/30/2021
IA
Washington 2/6/2009
B
Nevada 11/9/2020
B
Wisconsin 5/22/2023
B
New Jersey 2/6/2009

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
225 108th Avenue NE Suite 800, Bellevue, WA 98004
Mercer Island, WA
Registered with this firm since 2/6/2009
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
225 108th Avenue NE Suite 800, Bellevue, WA 98004
Mercer Island, WA
Registered with this firm since 2/6/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/08/1997 - 02/26/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) BELLEVUE, WA
B
 01/17/1997 - 02/26/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) BELLEVUE, WA
B
 06/24/1992 - 02/10/1997 PIPER JAFFRAY INC. (CRD#:665) MINNEAPOLIS, MN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.