linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Chris Christopher Shimko

UBS Securities LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Chris? Claim Your Profile

About Chris Christopher Shimko

Chris Christopher Shimko is a registered representative with UBS Securities LLC. Chris has been in the securities industry since September 21, 2009. Chris holds Series 7, 63, 99TO, and SIE licenses. Chris is registered in Connecticut. Chris has previous experience with UBS Securities LLC, ORBITEX FUNDS DISTRIBUTOR, INC., and UBS PAINEWEBBER INC.

Firm Information

Chris Shimko is currently registered with UBS Securities LLC. UBS Securities LLC is a Limited Liability Company formed on June 29, 1998. The firm is registered with the SEC and in all 50 states, as well as in Puerto Rico. UBS Securities LLC has been involved in 307 regulatory events, 5 civil events, and 3 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

507

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Chris Shimko’s Registration & Firm History

CT

02/10/2014 - Present

UBS Securities LLC (STAMFORD CT)

NY

05/12/2005 - 06/22/2005

UBS SECURITIES LLC (NEW YORK NY)

CT

10/04/2001 - 03/26/2004

ORBITEX FUNDS DISTRIBUTOR, INC. (STAMFORD CT)

NJ

07/20/1999 - 05/04/2001

UBS PAINEWEBBER INC. (WEEHAWKEN NJ)

Not sure if Chris Christopher Shimko is right for you?

Licenses & Designations

IA

Issued 08/12/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 08/12/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/10/2014

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

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

Disclosures

There are no public disclosures for Chris Christopher Shimko.
Not sure if Chris Christopher Shimko is right for you?