Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Chris? Claim Your ProfileChris Baxter is a financial advisor with UBS Securities LLC and has over 34 years of experience in the financial services industry. Chris has a strong track record of success in helping individuals and families achieve their financial goals. Chris holds FINRA Series 4, 7, 24, 55, 57TO, 79TO and SIE licenses and is registered to conduct business in all states in the United States. Chris's areas of expertise include investment banking, trading, and securities.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
1
2
CT
03/08/2011 - Present
UBS Securities LLC (STAMFORD CT)
NY
09/30/2008 - 02/11/2011
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
04/03/2008 - 07/17/2008
BEAR, STEARNS & CO. INC. (NEW YORK NY)
CT
04/14/2005 - 03/24/2008
UBS SECURITIES LLC (STAMFORD CT)
NY
03/27/2000 - 04/27/2005
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
NY
12/18/1998 - 04/14/2000
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
12/19/1996 - 12/18/1998
CITICORP SECURITIES, INC. (NEW YORK NY)
NY
06/01/1992 - 10/18/1996
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
NA
10/21/1991 - 06/01/1992
CITICORP FINANCIAL SERVICES,INC.
NY
12/11/1989 - 10/10/1991
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
CO
11/03/1988 - 12/19/1989
THE STUART-JAMES COMPANY, INCORPORATED (DENVER CO)
NA
03/22/1988 - 12/08/1988
INVESTORS CENTER, INC.
BC
Issued 03/28/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/25/1999
Series 4 - Registered Options Principal Examination
BC
Issued 10/11/1996
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/20/2003
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 03/19/1988
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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