Christopher Michael Caufield

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

Authority	Category	Status	Date
NY	RA	APPROVED	2021-10-26

NY RA
APPROVED

Since 2021-10-26

Branch Locations

225 Broadhollow Road, Melville, NY 11747 • United States

58 South Service Road Suite 310, Melville, NY 11747 • United States

Sound Beach, NY • 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
Painewebber	Mellville	NY	03/1999	Present
Ubs Financial Services Inc.	Melville	NY	03/1999	Present

03/1999 → Present

Painewebber

Mellville, NY
03/1999 → Present

Ubs Financial Services Inc.

Melville, NY

Other Businesses

1) Lyft, Inc., I will be a livery driver for Lyft, San Francisco California United States-94107, I would be a livery driver in Suffolk County, NYstart date- 5/13/2024. 2) UBER, Inc., Livery Driving, A livery driver, start date-4/20/2024, San Francisco United States.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-06-11
S63	Uniform Securities Agent State Law Examination	1999-05-28

S65 Uniform Investment Adviser Law Examination

1999-06-11
S63 Uniform Securities Agent State Law Examination

1999-05-28

Other Names

Christopher N Caufield

View on SEC IAPD