Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 21, 2018 indicate that Texas-based UBS Financial Services broker/adviser Michael Dawson has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Dawson (CRD# 62907).
Michael Dawson has spent 44 years in the securities industry and has been registered with UBS Financial Services in Houston, Texas since 2015. Previous registrations include Deutsche Bank Securities in Houston, Texas (2013-2015); Merrill Lynch in Houston, Texas (2007-2013); UBS Financial Services in Houston, Texas (2002-2007); and Goldman Sachs & Company in New York, New York (1974-2002). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on April 12, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 17, 1987; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 5 (Interest Rate Options Examination), which he obtained on October 11, 1982; PC (AMEX Put and Call Exam), which he obtained on July 27, 1977; and Series 1 (Registered Representative Examination), which he obtained on February 11, 1974. He is a registered broker and investment adviser with five US states: Arizona, New Jersey, New York, Tennessee, and Texas. He is registered with nine self-regulatory organizations (SROs): BOX Exchange LLC, Cboe Exchange Inc., FINRA, NYSE American LLC, NYSE Arca Inc., Nasdaq ISE LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.
According to his BrokerCheck report, he has received one pending customer complaint.