Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Christopher? Claim Your ProfileChristopher Herlihy is a financial advisor at UBS Financial Services Inc. with over 25 years of experience in the industry. Christopher is registered with the state of Michigan as both a broker-dealer and an investment advisor representative. Christopher has also worked at Credit Suisse Securities (USA) LLC, Morgan Stanley & Co. Incorporated, Robertson Stephens, Inc., Donaldson, Lufkin & Jenrette Securities Corporation, and PaineWebber Incorporated.
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
MA
01/05/2016 - Present
UBS Financial Services Inc. (BOSTON MA)
MA
06/05/2009 - 01/28/2016
CREDIT SUISSE SECURITIES (USA) LLC (BOSTON MA)
MA
08/10/2001 - 06/10/2009
MORGAN STANLEY & CO. INCORPORATED (BOSTON MA)
CA
09/04/1999 - 08/06/2001
ROBERTSON STEPHENS, INC. (SAN FRANCISCO CA)
NJ
07/20/1995 - 09/03/1999
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
NJ
07/28/1994 - 07/31/1995
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
BOTH
Issued 06/13/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/05/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/21/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 07/27/1994
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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