Christopher Stuart Pfaff

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2023-07-20
MT	RA	APPROVED	2021-12-07
TX	RA	APPROVED_RES	2009-01-07
IL	RA	APPROVED	1998-09-22

FL RA
APPROVED

Since 2023-07-20
MT RA
APPROVED

Since 2021-12-07
TX RA
APPROVED_RES

Since 2009-01-07
IL RA
APPROVED

Since 1998-09-22

Branch Locations

One North Wacker Drive Ste 3300, Chicago, IL 60606 • United States

Big Sky, MT • United States

Ocean Ridge, FL • United States

Glencoe, IL • 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 Yes
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc.	Chicago	IL	07/1985	Present

07/1985 → Present

Ubs Financial Services Inc.

Chicago, IL

Other Businesses

1)/Writers Theatre / 321 Park Avenue Glencoe,Illinois 60022 / Other/ Other entertainment / stage productions / Member of Board of Directors / / help guide the organization / Start Date 4/26/2017/End Date 7/25/2018/ 501c 3 theater company 43306 /

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-02-17
S63	Uniform Securities Agent State Law Examination	1985-10-11

S65 Uniform Investment Adviser Law Examination

1998-02-17
S63 Uniform Securities Agent State Law Examination

1985-10-11

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Other Businesses

Exams

Other Firms

Other Investors

Other Offices

Reviews