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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

MICHAEL JOHN PENCE

Advisor at UBS FINANCIAL SERVICES INC.

Bedford, TX | HOUSTON, TX | Miramar Beach, FL

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Search this name across graphsid dfx:ria:efb4db1f-959a-6540-d250-ce52554ae73b

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 31, 2000 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: UBS FINANCIAL SERVICES INC.
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 28, 1995earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 3
Exams: S63|S65
First exam: Dec 28, 1995
First registration: Mar 31, 2000
Dual registered: yes, broker-dealer
IAPD individual key: 2683423

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
UBS FINANCIAL SERVICES INC.	Wirehouse	Aug 25, 2012	n/a	yes	HOUSTON, TX\|Miramar Beach, FL\|Bedford, TX	Current employment
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Sep 5, 2012	no	Houston, TX	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Jan 17, 2006	Jun 1, 2009	no	HOUSTON, TX	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Mar 31, 2000	Jan 17, 2006	no	HOUSTON, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MORGAN STANLEY	UBS FINANCIAL SERVICES INC.	Sep 5, 2012	Aug 25, 2012	-11	Firm change	Wirehouse to wirehouse
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
CHASE INVESTMENT SERVICES CORP.	CITIGROUP GLOBAL MARKETS INC.	Jan 17, 2006	Jan 17, 2006	0	Firm change	Other

Relationships

Registered with (4)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: current employment
Aug 25, 2012 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Sep 5, 2012factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Jan 17, 2006 to Jun 1, 2009factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Mar 31, 2000 to Jan 17, 2006factForm ADV

Dated events

No dated event names this entity yet.