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Detailed Report
MICHAEL E PREWITT
MIKE PREWITT, MICHAEL E. PREWITT COLON, Michael Prewitt
CRD#: 4878980
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 250 MUNOZ RIVERA AVENUE
SAN JUAN, PR 00918
Registration History
200620082010201220142016201820202022202420262 FIRMS2009 - 2021 (12 years)2 FIRMS2022 - Present (2 years)BUNIVERSAL FINANCIAL SERVICES INC. (CRD# 131558)2021 - 2022 (<1 year)BPOPULAR SECURITIES, INC. (CRD# 8096)2009 - 2009 (<1 year)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2006 - 2009 (3 years)IAUNIVERSAL FINANCIAL SERVICES INC. (CRD# 131558)2022 - 2022 (<1 year)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2006 - 2006 (<1 year)
License(s)

State Registrations

B
Florida 11/1/2023
B
Puerto Rico 7/1/2022
B
New Jersey 11/1/2023
IA
Puerto Rico 7/1/2022
B
New York 11/1/2023

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)
250 MUNOZ RIVERA AVENUE, SAN JUAN, PR 00918
Registered with this firm since 7/1/2022
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
250 MUNOZ RIVERA AVENUE, SAN JUAN, PR 00918
Registered with this firm since 7/1/2022
Previous Registration(s)
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IA
 04/04/2022 - 06/15/2022 UNIVERSAL FINANCIAL SERVICES INC. (CRD#:131558) GUAYNABO, PR
B
 11/01/2021 - 06/15/2022 UNIVERSAL FINANCIAL SERVICES INC. (CRD#:131558) GUAYNABO, PR
B
 06/08/2009 - 11/02/2021 UBS FINANCIAL SERVICES INC. (CRD#:8174) SAN JUAN, PR
B
 06/08/2009 - 10/19/2021 UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO (CRD#:13042) SAN JUAN, PR
B
 03/05/2009 - 04/02/2009 POPULAR SECURITIES, INC. (CRD#:8096) SAN JUAN, PR
B
 02/14/2006 - 03/16/2009 UBS FINANCIAL SERVICES INC. (CRD#:8174) SAN JUAN, PR
IA
 09/14/2006 - 09/14/2006 UBS FINANCIAL SERVICES INC. (CRD#:8174) SAN JUAN, PR
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.