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Detailed Report
MICHAEL M ASHBURN
MICHAEL ASHBURN
CRD#: 5240720
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 2141 Rosecrans Avenue
Suite 3100
El Segundo, CA 90245
Registration History
20082010201220142016201820202022202420262 FIRMS2020 - Present (4 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2007 - 2020 (12 years)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2008 - 2020 (12 years)
Disclosure(s)
View By:
7/18/2017
Financial
Final
3/27/2015
Financial
Final
License(s)

State Registrations

B
Alabama 6/21/2023
B
Minnesota 1/6/2021
B
Alaska 10/1/2020
B
Missouri 6/25/2021
B
Arizona 11/19/2020
B
Montana 9/21/2020
B
California 9/18/2020
B
Nevada 10/7/2020
IA
California 9/18/2020
B
New Hampshire 10/2/2023
B
Colorado 1/6/2021
B
New Jersey 11/20/2020
B
Connecticut 9/18/2020
B
New York 9/18/2020
B
Delaware 9/24/2020
B
Oklahoma 9/21/2020
B
Florida 1/27/2021
B
Oregon 2/8/2021
B
Hawaii 12/3/2020
B
Pennsylvania 9/18/2020
B
Idaho 11/18/2020
B
Rhode Island 10/19/2022
B
Illinois 9/18/2020
B
Texas 9/18/2020
B
Indiana 1/7/2025
IA
Texas 9/19/2020
B
Iowa 1/21/2021
B
Utah 9/18/2020
B
Maryland 7/11/2023
B
Washington 9/18/2020
B
Michigan 2/3/2021
B
Wyoming 10/20/2020

SRO Registrations

B
 FINRA
B
 NYSE American 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
MORGAN STANLEY (CRD#:149777)
2141 Rosecrans Avenue Suite 3100, El Segundo, CA 90245
8383 Preston Center Plaza Suite 400, Dallas, TX 75225
Registered with this firm since 9/18/2020
B
MORGAN STANLEY (CRD#:149777)
2141 Rosecrans Avenue Suite 3100, El Segundo, CA 90245
8383 Preston Center Plaza Suite 400, Dallas, TX 75225
Registered with this firm since 9/18/2020
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/16/2008 - 09/29/2020 UBS FINANCIAL SERVICES INC. (CRD#:8174) BEVERLY HILLS, CA
B
 12/14/2007 - 09/29/2020 UBS FINANCIAL SERVICES INC. (CRD#:8174) BEVERLY HILLS, CA
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.