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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Christopher? Claim Your ProfileChristopher Sweesy is a financial advisor in Charlotte, NC. Christopher has been in the financial industry for over 2 years. Christopher is registered to offer securities and investment advisory services in 53 states, including North Carolina. Christopher is currently employed with UBS Financial Services Inc. Christopher has been with UBS Financial Services Inc. since April 2021. Christopher has a Series 7, 63, and 65 license. Christopher's previous experience includes working with Vanguard Marketing Corporation, The Vanguard Group, Inc., and Northwestern Mutual. Christopher is a licensed securities representative with a Series 7 license. Christopher is also a licensed investment advisor representative with a Series 65 license. Christopher is a registered representative of UBS Financial Services Inc., which is a member of FINRA/SIPC. Christopher is also a registered investment advisor. Christopher has a strong background in the financial industry and has extensive experience working with clients to develop investment strategies and provide financial advice. Christopher is committed to helping clients achieve their financial goals.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
NC
06/24/2021 - Present
UBS Financial Services Inc. (CHARLOTTE NC)
NC
11/06/2019 - 04/23/2021
VANGUARD MARKETING CORPORATION (CHARLOTTE NC)
IA
Issued 06/24/2021
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/11/2019
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/06/2019
Series 7TO - General Securities Representative Examination
BC
Issued 07/10/2019
SIE - Securities Industry Essentials Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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