CC
CC

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. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Retirement Planning, and 1 more. Their firm serves 1,134,581 clients with $810B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9502 advisors
IM Fee
Planning only
Assets Under Management
$808.8B

Fee Structure

UBS Financial Services Inc. offers financial planning services for a fee, with costs ranging from $500 to $50,000, though most clients pay between $1,000 and $10,000. Fees exceeding $50,000 but not more than $100,000 may be permitted for complex situations involving relationships with a net worth of $100 million or more. The fees are negotiable and may vary based on the range of services selected, the scope of the engagement, the complexity of the services, the nature and amount of client assets involved, and the financial advisor's business model.

One-Time Plan:$500 - $50,000
Loading...

Location

500 Campus Drive, 2nd Floor, Florham Park, NJ, 07932

Get directions

History

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 2016
Final
Customer Dispute
July 2015
Settled
Customer Dispute
September 2009
Settled
Customer Dispute
January 1993
Award / Judgment
Employment History
Current Registrations
UBS Financial Services INC.
January 2009 - Present · 17 yrs 4 mos
UBS Financial Services INC.Broker
September 2004 - Present · 21 yrs 8 mos
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 Registrations23 states
ALCACOCTDEFLHIINMAMDMONCNJNYOHPARISCTNTXUTVAVT
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.