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Detailed Report
CHRISTOPHER J NEWTON
CRD#: 1254591
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 17 WEST MCBEE AVENUE
GREENVILLE, SC 29601
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2004 - 2009 (4 years)2 FIRMS2009 - Present (15 years)
License(s)

State Registrations

B
Alabama 6/23/2020
B
Mississippi 6/23/2020
B
California 3/15/2010
B
Nevada 6/23/2020
B
Colorado 6/23/2020
B
New Jersey 4/22/2009
IA
Colorado 7/23/2024
B
New York 6/23/2020
B
Connecticut 6/17/2021
B
North Carolina 4/22/2009
B
District of Columbia 6/23/2020
B
Ohio 6/23/2020
B
Florida 4/22/2009
B
Oregon 1/29/2024
B
Georgia 4/26/2012
B
Pennsylvania 6/23/2020
B
Illinois 4/22/2009
B
South Carolina 4/22/2009
B
Indiana 6/23/2020
IA
South Carolina 4/23/2009
B
Kansas 11/8/2017
B
Tennessee 6/23/2020
B
Kentucky 3/22/2019
IA
Texas 4/22/2009
B
Louisiana 6/23/2020
B
Texas 10/20/2017
B
Maryland 6/23/2020
B
Virginia 6/23/2020
B
Massachusetts 4/22/2009
B
Washington 6/23/2020
B
Michigan 12/8/2014
B
Wisconsin 6/7/2018
B
Minnesota 4/22/2009

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
17 WEST MCBEE AVENUE, GREENVILLE, SC 29601
Salem, SC
Registered with this firm since 4/22/2009
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
17 WEST MCBEE AVENUE, GREENVILLE, SC 29601
Salem, SC
Registered with this firm since 4/22/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 08/02/2004 - 04/24/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) GREENVILLE, SC
B
 07/21/2004 - 04/24/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) GREENVILLE, SC
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.