Christopher Sales-sorto

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2020-05-07

CA RA
APPROVED

Since 2020-05-07

Branch Locations

Oakland, CA • United States

555 California Street 32Nd Floor/ Suite 3200, San Francisco, CA 94104 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services, Inc.	San Francisco	CA	12/2015	Present

12/2015 → Present

Ubs Financial Services, Inc.

San Francisco, CA

Other Businesses

Franco Sales LLC / Partnership / Buying and selling of household goods for a profit. Items could be diapers, Gatorade, napkins etc. / Partner / My role is to invest $15,000 of my money to an LLC I own 50%.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2020-05-07
S63	Uniform Securities Agent State Law Examination	2020-03-07

S65 Uniform Investment Adviser Law Examination

2020-05-07
S63 Uniform Securities Agent State Law Examination

2020-03-07

Other Names

Christopher Sales - Sorto
Chris Sales
Christopher Sales

View on SEC IAPD