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Detailed Report
CHRISTOPHER RICHARD PRICE
CHRIS PRICE
CRD#: 1854205
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 20 PACIFICA
IRVINE, CA 92618
Registration History
199019952000200520102015202020252 FIRMS2008 - Present (16 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1993 - 2008 (15 years)BLEHMAN BROTHERS INC. (CRD# 7506)1991 - 1993 (2 years)BCHATFIELD DEAN & CO., INC. (CRD# 14714)1990 - 1991 (<1 year)BTHE STUART-JAMES COMPANY, INCO... (CRD# 11691)1988 - 1990 (2 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1997 - 2008 (11 years)
Disclosure(s)
View By:
12/12/2000
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 2/4/2015
B
Nevada 10/31/2008
B
Alaska 10/31/2008
B
New Hampshire 11/8/2017
B
Arizona 10/31/2008
B
New Jersey 4/29/2022
B
Arkansas 10/31/2008
B
New Mexico 10/31/2008
B
California 10/31/2008
B
New York 10/31/2008
IA
California 10/31/2008
B
North Carolina 10/31/2008
B
Colorado 10/31/2008
B
North Dakota 4/19/2021
B
Delaware 11/17/2020
B
Ohio 10/31/2008
B
District of Columbia 10/12/2023
B
Oklahoma 10/31/2008
B
Florida 10/31/2008
IA
Oklahoma 10/31/2008
B
Georgia 10/31/2008
B
Oregon 10/31/2008
B
Hawaii 11/5/2008
B
Pennsylvania 10/31/2008
B
Idaho 10/31/2008
B
Rhode Island 11/15/2021
B
Illinois 11/5/2008
B
South Carolina 10/31/2008
B
Indiana 12/14/2009
B
South Dakota 10/31/2008
B
Iowa 2/26/2019
B
Tennessee 10/31/2008
B
Kansas 10/31/2008
B
Texas 10/31/2008
B
Kentucky 3/4/2025
IA
Texas 1/26/2009
B
Louisiana 8/9/2022
B
Utah 10/31/2008
B
Maryland 10/31/2008
B
Vermont 10/31/2008
B
Massachusetts 10/31/2008
B
Virginia 10/31/2008
B
Michigan 10/31/2008
B
Washington 10/31/2008
B
Minnesota 10/31/2008
B
West Virginia 10/31/2008
B
Mississippi 5/5/2009
B
Wisconsin 6/1/2015
B
Missouri 10/31/2008
B
Wyoming 1/19/2018
B
Montana 11/5/2008

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)
20 PACIFICA, IRVINE, CA 92618
Registered with this firm since 10/31/2008
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
20 PACIFICA, IRVINE, CA 92618
Registered with this firm since 10/31/2008
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 07/08/1997 - 11/12/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) LAGUNA NIGUEL, CA
B
 07/31/1993 - 11/12/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) LAGUNA NIGUEL, CA
B
 01/15/1991 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
 11/23/1990 - 01/17/1991 CHATFIELD DEAN & CO., INC. (CRD#:14714) GREENWOOD VILLAGE, CO
B
 08/12/1988 - 11/30/1990 THE STUART-JAMES COMPANY, INCORPORATED (CRD#:11691) DENVER, CO
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.