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Christopher Byrne Nippes

UBS Securities LLC

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About Christopher Byrne Nippes

Christopher Byrne Nippes is a registered representative with UBS Securities LLC. Christopher is a securities professional with over 23 years of experience in the industry. Christopher has held previous positions with UBS Capital Markets L.P. and Thomas Weisel Partners LLC. Christopher holds FINRA Series 7, 55, 57TO and SIE licenses. Christopher is registered in 52 states and the District of Columbia.

Firm Information

Christopher Nippes 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.

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Christopher Nippes’s Registration & Firm History

NY

04/08/2005 - Present

UBS Securities LLC (NEW YORK NY)

CT

07/20/2005 - 02/15/2006

UBS CAPITAL MARKETS L.P. (STAMFORD CT)

CT

03/15/2005 - 05/25/2005

UBS CAPITAL MARKETS L.P. (STAMFORD CT)

CT

09/02/2003 - 02/17/2005

UBS CAPITAL MARKETS L.P. (STAMFORD CT)

CA

05/01/2000 - 08/19/2003

THOMAS WEISEL PARTNERS LLC (SAN FRANCISCO CA)

NY

12/11/1998 - 04/20/2000

SALOMON SMITH BARNEY INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 08/21/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/31/1999

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 11/25/1998

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 Christopher Byrne Nippes.
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