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Christopher Buckley

Ubs Financial Services Inc.

Elmsford, NY

New York, NY

CRD 6702894

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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:

Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-10-26
NJ RA APPROVED 2020-05-15
  • NY RA
    APPROVED
    Since 2021-10-26
  • NJ RA
    APPROVED
    Since 2020-05-15

Branch Locations

Elmsford, NY • United States

1285 Avenue Of The Americas 20Th Floor, New York, NY 10171 • 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
Merrill Lynch New York NY 05/2017 08/2017
Adelphi University Garden City NY 09/2014 05/2018
Stifel, Nicolaus & Co, Inc. Garden City NY 07/2018 05/2020
Ubs Financial Services, Inc. New York NY 05/2020 Present
  • 05/2017 → 08/2017
    Merrill Lynch
    New York, NY
  • 09/2014 → 05/2018
    Adelphi University
    Garden City, NY
  • 07/2018 → 05/2020
    Stifel, Nicolaus & Co, Inc.
    Garden City, NY
  • 05/2020 → Present
    Ubs Financial Services, Inc.
    New York, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-03-25
  • S66 Uniform Combined State Law Examination
    2019-03-25
Other Names
  • Christopher Buckley
  • Christopher Daniel Buckley

View on SEC IAPD

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