Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Christopher? Claim Your ProfileChristopher Faruol is a financial advisor registered with UBS Financial Services Inc. Christopher is a registered representative, investment advisor representative, and has been in the industry since December 1998. Christopher has passed the Series 7, 9, 10, 31, 66, and SIE exams. He is licensed to provide securities advice in Connecticut, Texas, and over 30 other states. Christopher has previously worked at Merrill Lynch, Pierce, Fenner & Smith 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
CT
08/17/2007 - Present
UBS Financial Services Inc. (WESTPORT CT)
CT
12/17/1998 - 08/21/2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (STAMFORD CT)
BOTH
Issued 01/29/1999
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/11/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/06/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/03/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 12/16/1998
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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