Christopher Pennington, financial advisor Cincinnati OH
89 score

Christopher Pennington

CRD Number: 6221364
Current Firm: Ubs Financial Services Inc.

Christopher Pennington (CRD# 6221364) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Cincinnati, OH and has over 3 years of experience in the finance industry.

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Company Name Location Dates Years
Ubs Financial Services Cincinnati, OH Aug 2013 - Current 3
The Nielsen Company Cincinnati, OH Jun 2007 - Aug 2013 6
Dhl Erlanger, KY Jun 2005 - Jun 2007 2
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Oct 2013
Contact Info for Christopher A. Pennington
Phone Number: 201-352-3000
Registered State(s):
  • OH
  • TX
By the Numbers
  • Total Assets Under Management
    358,253
    MILLIONS
  • Total Number of Accounts
    860,383
    ACCOUNTS
  • Average Account Value
    $416,388
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Security ratings or pricing services
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
89
Clean Record
This advisor has a clean track record with regulators.

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