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Detailed Report
MICHAEL SCOTT ANDERSON
Mike Anderson
CRD#: 5357460
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 1200 Prospect St
Suite 100
La Jolla, CA 92038
Registration History
201020122014201620182020202220242026IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2022 - Present (2 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2021 - Present (3 years)BROBERT W. BAIRD & CO. INCORPORATED (CRD# 8158)2012 - 2021 (8 years)BFINANCIAL NETWORK INVESTMENT C... (CRD# 13572)2010 - 2012 (2 years)
License(s)

State Registrations

B
Arizona 7/26/2021
B
Montana 7/26/2021
B
California 7/26/2021
B
New York 7/26/2021
IA
California 5/9/2022
B
North Carolina 7/26/2021
B
Colorado 3/29/2023
B
Ohio 7/27/2021
B
Florida 7/26/2021
B
Tennessee 7/26/2021
B
Idaho 7/26/2021
B
Texas 7/26/2021
B
Kentucky 7/26/2021
B
Virginia 7/26/2021
B
Maryland 7/26/2021
B
Washington 7/26/2021
B
Massachusetts 7/26/2021
B
Wisconsin 7/26/2021
B
Minnesota 7/26/2021
B
Wyoming 7/26/2021

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)
1200 Prospect St Suite 100, La Jolla, CA 92038
San Diego, CA
Registered with this firm since 5/9/2022
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1200 Prospect St Suite 100, La Jolla, CA 92038
San Diego, CA
Registered with this firm since 7/26/2021
Previous Registration(s)
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B
 10/03/2012 - 07/20/2021 ROBERT W. BAIRD & CO. INCORPORATED (CRD#:8158) MILWAUKEE, WI
B
 03/18/2010 - 09/07/2012 FINANCIAL NETWORK INVESTMENT CORPORATION (CRD#:13572) ST LOUIS PARK, 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.