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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 Tolman is an investment advisor representative at UBS Financial Services Inc. Christopher Tolman is registered in 42 states and 6 states for investment advisory. Christopher Tolman has been in the industry since December 8, 1991. Christopher Tolman has been with UBS Financial Services Inc since November 2010. Prior to that Christopher Tolman was employed at Credit Suisse Securities (USA) LLC, Bear, Stearns & Co. Inc., Prudential Securities Incorporated and Smith Barney, Harris Upham & Co., Incorporated. Christopher Tolman has passed the Series 63, 65 and 66 exams.
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
12/17/2010 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
12/07/2007 - 12/08/2010
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
NY
06/06/1997 - 12/18/2007
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NY
04/06/1992 - 11/01/1996
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
05/07/1991 - 04/22/1992
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)
BOTH
Issued 11/30/2021
Series 66 - Uniform Combined State Law Examination
IA
Issued 08/26/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/14/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/05/1990
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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