CD
CD

Christopher Duffy

33 Years of Experience
New York, NY
Broker

Christopher Duffy is a registered investment advisor at UBS Financial Services INC., based in New York, NY, with 33 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
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Location

11 Madison Avenue, New York, NY, 10010

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

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Other Business Activities

Christopher and his wife own a rental property, where he spends minimal time on rent collection and routine maintenance. His wife handles most of the larger property management issues.

Employment History
Current Registrations
UBS Financial Services INC.
October 2015 - Present · 10 yrs 7 mos
UBS Financial Services INC.Broker
October 2015 - Present · 10 yrs 7 mos
Previous Registrations
Morgan Stanley & CO. LLCBroker
July 2014 - October 2015 · 1 yr 3 mos
Morgan StanleyBroker
June 2010 - August 2014 · 4 yrs 2 mos
Morgan Stanley
June 2010 - August 2014 · 4 yrs 2 mos
UBS Financial Services INC.
September 2006 - May 2010 · 3 yrs 8 mos
UBS Financial Services INC.Broker
March 2006 - May 2010 · 4 yrs 2 mos
UBS Securities LLCBroker
January 2006 - March 2006 · 2 mos
UBS Financial Services INC.Broker
February 2002 - January 2006 · 3 yrs 11 mos
Salomon Smith Barney INC.Broker
January 1992 - August 2001 · 9 yrs 7 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth

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Exams
No exam information available for this advisor.