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Christopher Tolman
34 Years of Experience
New York, NY
3 DisclosuresBroker
Christopher Tolman is a registered investment advisor at UBS Financial Services INC., based in New York, NY, with 34 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
1285 Avenue of the Americas, 15 Thru 18th Floors, New York, NY, 10019
Get directionsHistory
Regulatory History (3)
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Regulatory
July 1997Final
Employment Separation After Allegations
October 1996Criminal
June 1995Final Disposition
Employment History
Current Registrations
UBS Financial Services INC.Broker
November 2010 - Present · 15 yrs 11 mos
UBS Financial Services INC.
November 2010 - Present · 15 yrs 11 mos
Previous Registrations
Credit Suisse Securities (USA) LLCBroker
December 2007 - December 2010 · 3 yrs
Credit Suisse Securities (USA) LLC
December 2007 - December 2010 · 3 yrs
Bear, Stearns & CO. INC.
July 2002 - December 2007 · 5 yrs 5 mos
Bear, Stearns & CO. INC.Broker
June 1997 - December 2007 · 10 yrs 6 mos
Prudential Securities IncorporatedBroker
April 1992 - November 1996 · 4 yrs 7 mos
Smith Barney, Harris Upham & CO., IncorporatedBroker
May 1991 - April 1992 · 11 mos
State Registrations43 states
ARAZCACOCTDCDEFLGAIAIDILINKSKYMAMDMEMIMNMSNCNHNJNMNVNYOHORPAPRRISCSDTNTXUTVAVTWAWIWVWY
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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