CD
CD

Christopher Doherty

29 Years of Experience
Mt Pleasant, SC
2 DisclosuresBroker

Christopher Doherty is a registered investment advisor at UBS Financial Services INC., based in Mt Pleasant, SC, with 29 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

941 Houston Northcutt Blvd Suite 100, Mt Pleasant, SC, 29464

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History

Regulatory History (2)
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Regulatory
December 2022
Final
Criminal
August 2021
Final Disposition
Employment History
Current Registrations
UBS Financial Services INC.
June 2013 - Present · 12 yrs 11 mos
UBS Financial Services INC.Broker
May 2013 - Present · 13 yrs
Previous Registrations
International Strategy & Investment Group INC.Broker
February 2008 - February 2011 · 3 yrs
Cf Global Trading, LLCBroker
January 2007 - December 2007 · 11 mos
Thomas Weisel Partners LLCBroker
April 2005 - December 2006 · 1 yr 8 mos
Merrill Lynch Pierce Fenner & Smith INC.
July 2004 - March 2005 · 8 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
November 1993 - March 2005 · 11 yrs 4 mos
State Registrations30 states
ALAZCACOCTDCDEFLGAIAILKYLAMAMDMIMNNCNJNMNVNYOHPASCTNTXVTWIWY
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.