Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Christopher? Claim Your ProfileChristopher Doherty is a financial advisor with UBS Financial Services Inc. Christopher has been working in the financial industry since 1996. Christopher is registered with both the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC). He is licensed to sell securities in Connecticut, Florida, Illinois, Maryland, Massachusetts, Michigan, New Jersey, New York, North Carolina, Pennsylvania, South Carolina, Tennessee, and Texas.
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
CT
12/09/2013 - Present
UBS Financial Services Inc. (STAMFORD CT)
NY
02/04/2008 - 02/07/2011
INTERNATIONAL STRATEGY & INVESTMENT GROUP INC. (NEW YORK NY)
NY
01/08/2007 - 12/31/2007
CF GLOBAL TRADING, LLC (NEW YORK NY)
NY
04/11/2005 - 12/19/2006
THOMAS WEISEL PARTNERS LLC (NEW YORK NY)
NY
11/08/1993 - 03/24/2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 06/12/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/26/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/16/2013
Series 7 - General Securities Representative Examination
BC
Issued 02/15/2005
Series 55 - Limited Representative-Equity Trader Exam
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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