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MICHAEL ANDREW BATES
CRD#: 2818951
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 3390 UNIVERSITY AVENUE
RIVERSIDE, CA 92501
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2009 - 2019 (10 years)2 FIRMS2019 - Present (5 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1998 - 2009 (10 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1996 - 1998 (1 year)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2000 - 2009 (8 years)
Disclosure(s)
View By:
11/7/2012
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 2/17/2021

B
Nevada 5/24/2019

B
Alaska 6/21/2019

B
New Hampshire 8/14/2023

B
Arizona 5/24/2019

B
New Jersey 4/6/2021

B
Arkansas 6/21/2019

B
New Mexico 5/24/2019

B
California 5/24/2019

B
New York 6/11/2020

IA
California 5/28/2019

B
North Carolina 5/24/2019

B
Colorado 6/24/2019

B
Ohio 6/11/2020

B
Florida 5/24/2019

B
Oklahoma 6/24/2019

B
Georgia 6/24/2019

B
Oregon 5/24/2019

B
Idaho 6/24/2019

B
Pennsylvania 5/24/2019

B
Illinois 12/4/2020

B
South Dakota 8/14/2020

B
Indiana 5/5/2022

B
Tennessee 9/6/2019

B
Kansas 2/29/2024

B
Texas 5/29/2019

B
Maryland 6/6/2024

IA
Texas 7/10/2019

B
Massachusetts 6/24/2019

B
Utah 6/21/2019

B
Michigan 6/24/2019

B
Vermont 12/15/2021

B
Minnesota 7/11/2019

B
Virginia 6/25/2019

B
Montana 1/31/2025

B
Washington 6/21/2019

B
Nebraska 1/27/2021

B
Wisconsin 8/8/2024

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)
3390 UNIVERSITY AVENUE, RIVERSIDE, CA 92501
Riverside, CA
Registered with this firm since 5/28/2019

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
3390 UNIVERSITY AVENUE, RIVERSIDE, CA 92501
Riverside, CA
Registered with this firm since 5/24/2019

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
03/20/2009 - 05/28/2019 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) RIVERSIDE, CA
B
03/20/2009 - 05/28/2019 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) RIVERSIDE, CA
IA
08/01/2000 - 04/08/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) CLARMONT, CA
B
11/02/1998 - 04/08/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) CLARMONT, CA
B
12/11/1996 - 11/25/1998 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
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B
Broker
IA
Investment Adviser
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.