Christopher PhillipsCRD Number: 3003676
Current Firm: Ubs Financial Services Inc.
Christopher Phillips (CRD# 3003676) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Orlando, FL and has over 18 years of experience in the finance industry.
Ameriprise Financial Services, Inc.
American Financial Advisors Inc.
Alconbury Trust L.l.c
|Ubs Financial Services Inc.||Orlando, FL||Sep 2011 - Current||5|
|Bank Of America,na||Orlando, FL||Nov 2009 - Sep 2011||1|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||Orlando, FL||Feb 2005 - Nov 2009||4|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jul 1998|
|S65||NASAA Investment Advisors Law Examination||Aug 1998|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management358,253MILLIONS
Total Number of Accounts860,383ACCOUNTS
Average Account Value$416,388
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- 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
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