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Christopher L Ortiz

Ubs Financial Services Inc.

New York, NY

Jamaica, NY

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-11-08
NJ RA APPROVED 2018-04-24
  • NY RA
    APPROVED
    Since 2021-11-08
  • NJ RA
    APPROVED
    Since 2018-04-24

Branch Locations

1285 Avenue Of The Americas 15Th Floor, New York, NY 10019 • United States

Jamaica, NY • 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
OrganizationCityStateFromTo
Hsbc Bank Usa, N.A. New York NY 07/2014 11/2016
Hsbc Securities Usa Inc. New York NY 07/2014 11/2016
Hsbc Bank Usa, National Association New York NY 11/2016 03/2018
Hsbc Securities Usa, Inc New York NY 11/2016 03/2018
Ubs Financial Services Inc. New York NY 04/2018 Present
  • 07/2014 → 11/2016
    Hsbc Bank Usa, N.A.
    New York, NY
  • 07/2014 → 11/2016
    Hsbc Securities Usa Inc.
    New York, NY
  • 11/2016 → 03/2018
    Hsbc Bank Usa, National Association
    New York, NY
  • 11/2016 → 03/2018
    Hsbc Securities Usa, Inc
    New York, NY
  • 04/2018 → Present
    Ubs Financial Services Inc.
    New York, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-11-27
  • S66 Uniform Combined State Law Examination
    2006-11-27
Other Names
  • Christopher Lee Ortiz

View on SEC IAPD

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KINYAN CAPITAL MANAGEMENT LLC · NEW YORK, NY
BRIGHTSPIRE CAPITAL ADVISORS, LLC · NEW YORK, NY
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