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MICHAEL RICHARD RICHARD CORMIER
MIKE RICHARD CORMIER
CRD#: 6224357
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 ONE MERCHANTS PLAZA
THIRD FLOOR
BANGOR, ME 04401
Registration History
20132014201520162017201820192020202120222023202420252 FIRMS2013 - Present (11 years)
License(s)

State Registrations

B
Arizona 9/2/2015

B
Nevada 9/2/2015

B
California 9/2/2015

B
New Hampshire 12/6/2013

B
Colorado 12/19/2019

B
New Jersey 9/2/2015

B
Connecticut 9/2/2015

B
New Mexico 9/14/2020

B
Delaware 9/2/2015

B
New York 9/2/2015

B
District of Columbia 9/2/2015

B
North Carolina 9/2/2015

B
Florida 12/6/2013

B
Ohio 9/2/2015

B
Georgia 9/2/2015

B
Oklahoma 9/2/2015

B
Hawaii 9/2/2015

B
Pennsylvania 9/2/2015

B
Indiana 9/29/2023

B
Puerto Rico 2/20/2024

B
Louisiana 10/7/2020

B
Rhode Island 9/2/2015

B
Maine 9/10/2013

B
South Carolina 9/2/2015

IA
Maine 9/10/2013

B
Tennessee 9/14/2020

B
Maryland 9/2/2015

B
Texas 1/5/2017

B
Massachusetts 9/2/2015

IA
Texas 1/5/2017

B
Michigan 9/2/2015

B
Vermont 9/14/2020

B
Minnesota 9/2/2015

B
Virginia 2/7/2014

B
Missouri 11/18/2021

B
Washington 9/2/2015

B
Montana 11/1/2024

B
Wisconsin 9/14/2020

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)
ONE MERCHANTS PLAZA THIRD FLOOR, BANGOR, ME 04401
Hampden, ME
Registered with this firm since 9/10/2013

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
ONE MERCHANTS PLAZA THIRD FLOOR, BANGOR, ME 04401
Hampden, ME
Registered with this firm since 8/9/2013

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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.