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Christopher Conroy
40 Years of Experience
Florham Park, NJ
4 DisclosuresBroker
Christopher Conroy is a registered investment advisor at UBS Financial Services INC., based in Florham Park, NJ, with 40 years of industry experience. Christopher is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, High Net Worth, Insurance Planning, and 3 more. Their firm serves 1,144,588 clients with $920B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9366 advisors
IM Fee
Planning only
Assets Under Management
$915.8B
Fee Structure
Investment management only (planning not offered)
- Customized Financial Planning Services — Typically ranges from $1,000 to $10,000, with a general range of $500 to $50,000 depending on the scope and complexity of the engagement. Fees up to $100,000 may be permitted for highly complex situations involving relationships with a net worth of $100 million or more.
One-Time Plan:$500 - $50,000
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Location
500 Campus Drive, 2nd Floor, Florham Park, NJ, 07932
Get directionsHistory
Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
November 2016Final
Customer Dispute
July 2015Settled
Customer Dispute
September 2009Settled
Customer Dispute
January 1993Award / Judgment
Employment History
Current Registrations
UBS Financial Services INC.
January 2009 - Present · 17 yrs 9 mos
UBS Financial Services INC.Broker
September 2004 - Present · 22 yrs 1 mo
Previous Registrations
Credit Suisse First Boston LLCBroker
January 2003 - October 2004 · 1 yr 9 mos
Donaldson, Lufkin & Jenrette Securities CorporationBroker
December 1995 - January 2003 · 7 yrs 1 mo
Smith Barney INC.Broker
July 1993 - December 1995 · 2 yrs 5 mos
Lehman Brothers INC.Broker
January 1992 - July 1993 · 1 yr 6 mos
Smith Barney, Harris Upham & CO., IncorporatedBroker
August 1986 - January 1992 · 5 yrs 5 mos
Laidlaw Adams & Peck INC.Broker
March 1986 - August 1986 · 5 mos
State Registrations37 states
AKALAZCACOCTDEFLGAHIIDILINLAMAMDMEMONCNHNJNVNYOHPAPRRISCTNTXUTVAVTWAWIWVWY
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.
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