Christopher Joseph Doherty

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2024-09-04
SC	RA	APPROVED	2024-08-29
TX	RA	APPROVED	2013-12-09
CT	RA	APPROVED	2013-06-13

NC RA
APPROVED

Since 2024-09-04
SC RA
APPROVED

Since 2024-08-29
TX RA
APPROVED

Since 2013-12-09
CT RA
APPROVED

Since 2013-06-13

Branch Locations

941 Houston Northcutt Blvd Suite 100, Mt Pleasant, SC 29464 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action Yes
Criminal Yes
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	Stamford	CT	04/2013	Present

04/2013 → Present

Ubs

Stamford, CT

Previous Registrations

2004-07-27 → 2005-03-24

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New York, NY

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2013-06-12
S63	Uniform Securities Agent State Law Examination	2004-10-26

S66 Uniform Combined State Law Examination

2013-06-12
S63 Uniform Securities Agent State Law Examination

2004-10-26

Other Names

Christopher J Doherty

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

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