CB
CB

Christopher Black

34 Years of Experience
Houston, TX
7 DisclosuresBroker

Christopher Black is a registered investment advisor at UBS Financial Services INC., based in Houston, TX, with 34 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

4400 Post Oak Parkway, Suite 1700, Houston, TX, 77027

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History

Regulatory History (7)
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.
Customer Dispute
February 2022
Settled
Customer Dispute
February 2022
Settled
Customer Dispute
February 2022
Settled
Customer Dispute
April 2020
Settled
Customer Dispute
October 2019
Award / Judgment
Customer Dispute
September 2019
Settled
Customer Dispute
August 2019
Denied
Other Business Activities

Christopher is the managing member of Tight Lines Interests, LLC, a personal LLC established in 2016 to invest in direct residential real estate.

Employment History
Current Registrations
UBS Financial Services INC.Broker
November 2015 - Present · 10 yrs 6 mos
UBS Financial Services INC.
November 2015 - Present · 10 yrs 6 mos
Previous Registrations
Credit Suisse Securities (USA) LLC
January 2009 - December 2015 · 6 yrs 11 mos
Credit Suisse Securities (USA) LLCBroker
January 2009 - December 2015 · 6 yrs 11 mos
Morgan Stanley & CO. Incorporated
September 2000 - January 2009 · 8 yrs 4 mos
Morgan Stanley & CO. IncorporatedBroker
September 2000 - January 2009 · 8 yrs 4 mos
Royal Alliance Associates, INC.Broker
September 1994 - July 2000 · 5 yrs 10 mos
Oppenheimer & CO., INC.Broker
April 1994 - August 1994 · 4 mos
Westcap Government Securities, INC.Broker
April 1992 - March 1994 · 1 yr 11 mos
Westcap Securities, L.P.Broker
April 1992 - March 1994 · 1 yr 11 mos
Guardian Investor Services CorporationBroker
November 1991 - January 1993 · 1 yr 2 mos
State Registrations22 states
ALAZCACOCTFLGAHIINLAMDMONJNMNYOHOKORSCTNTXWY
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.