Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Christopher? Claim Your ProfileChristopher Stuart Pfaff is an investment advisor representative with UBS Financial Services Inc. Christopher has been in the industry since September 24, 1985. Christopher holds Series 3, 7, and 63 licenses as well as a Series 65 license and the SIE exam. Christopher is registered with the state of Illinois as an Investment Advisor Representative. Christopher is also registered with the state of Montana as an Investment Advisor Representative. In addition to his licenses and registrations, Christopher is also a member of the Glencoe Park Board. Christopher has a strong background in financial planning, portfolio management, and securities trading. Christopher is committed to providing his clients with personalized financial advice and investment solutions.
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
IL
01/07/2009 - Present
UBS Financial Services Inc. (CHICAGO IL)
IA
Issued 02/17/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/11/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/17/1985
Series 3 - National Commodity Futures Examination
BC
Issued 09/21/1985
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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