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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 Duffy is a financial advisor with UBS Financial Services Inc. based in New York, New York. Christopher has been in the industry for over 30 years and has a broad range of experience, including portfolio management for individuals and businesses, financial planning, and pension consulting. Christopher holds a variety of licenses and certifications, including Series 7, 55, 63, 66, and 53. Christopher has a strong track record of success and is committed to providing his clients with personalized financial advice and services.
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
NY
10/01/2015 - Present
UBS Financial Services Inc. (New York NY)
NY
07/31/2014 - 10/06/2015
MORGAN STANLEY & CO. LLC (NEW YORK NY)
NY
06/16/2010 - 08/01/2014
MORGAN STANLEY (PURCHASE NY)
NJ
03/17/2006 - 05/13/2010
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
01/30/2006 - 03/21/2006
UBS SECURITIES LLC (NEW YORK NY)
NJ
02/26/2002 - 01/31/2006
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
01/31/1992 - 08/08/2001
SALOMON SMITH BARNEY INC. (NEW YORK NY)
BOTH
Issued 07/27/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/21/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/06/2002
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/08/2001
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 12/03/1991
Series 7 - General Securities Representative 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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