Christopher Roland Morency

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2011-11-08
CA	RA	APPROVED	2011-11-01

TX RA
APPROVED_RES

Since 2011-11-08
CA RA
APPROVED

Since 2011-11-01

Branch Locations

600 West Broadway Suite 2800, San Diego, CA 92101 • United States

222 E. Carrillo St., Suite 106, Santa Barbara, CA 93101 • United States

Goleta, CA • United States

Disclosures

1 disclosure category 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 No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc	Santa Barbara	CA	10/2011	Present

10/2011 → Present

Ubs Financial Services Inc

Santa Barbara, CA

Previous Registrations

2009-06-01 → 2011-11-07

Morgan Stanley

Santa Barbara, CA

Santa Barbara, CA
2007-04-02 → 2009-06-01

Morgan Stanley & Co. Llc

Santa Barbara, CA
2006-04-05 → 2007-04-02

Morgan Stanley Dw Inc.

Santa Barbara, CA
2005-08-05 → 2006-03-23

John Hancock Distributors Llc

Santa Barbara, CA
1997-07-08 → 2005-07-08

Ubs Financial Services Inc.

Santa Barbara, CA

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1994-12-22

S63 Uniform Securities Agent State Law Examination

1994-12-22

Other Names

Chris R Morency

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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