Christopher Leo Herlihy

Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2016 → Present
  Ubs Financial Services Inc
  Boston, MA

Previous Registrations

• 2009-06-05 → 2016-01-28
  Credit Suisse Securities (Usa) Llc
  Boston, MA
• 2005-12-14 → 2009-06-10
  Morgan Stanley & Co. Llc
  New York, NY
  Boston, MA
  Boston, MA

Other Businesses

Maggie Louise Confections / United States / 1017 E. 6th Street / Austin / Texas / United States / 78702 / www.maggielouiseconfections.com / No / Other / Private Investment / Food, Beverages & Tobacco / / Selling Luxury Chocolates / Active / Other / Private Investor / None / 2 / No / No / No / No / Start Date 01/31/2018 / / No / / No / / Yes / Yes / 1 / / Yes / Austin, TX / No / / No / / Company started by my cousin, a number of family members made the decision to invest. / No /

Exams

• S66 Uniform Combined State Law Examination
  2000-06-13
• S63 Uniform Securities Agent State Law Examination
  1994-08-05

Other Names

• Chris Herlihy