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Detailed Report
CHRISTOPHER NORMAN FISHER
CHRIS NORMAN FISHER
CRD#: 3006439
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 6120 South Yale Avenue
Suite 1800
TULSA, OK 74136
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2007 - 2009 (1 year)2 FIRMS2009 - Present (16 years)BMORGAN STANLEY DW INC. (CRD# 7556)2004 - 2007 (2 years)BMORGAN KEEGAN & COMPANY, INC. (CRD# 4161)2003 - 2004 (1 year)BFROST SECURITIES, INC. (CRD# 47124)2000 - 2002 (2 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1998 - 2000 (1 year)IAMORGAN STANLEY (CRD# 7556)2005 - 2007 (2 years)IAMORGAN KEEGAN & COMPANY, INC. (CRD# 4161)2004 - 2004 (<1 year)
License(s)

State Registrations

B
Arizona 1/2/2009
B
New York 7/21/2020
B
Arkansas 1/2/2009
B
North Carolina 9/10/2018
B
California 1/8/2021
B
Oklahoma 1/2/2009
B
Colorado 4/28/2021
IA
Oklahoma 1/2/2009
B
Florida 1/2/2009
B
Texas 1/2/2009
B
Kentucky 1/29/2021
IA
Texas 1/2/2009
B
Michigan 1/2/2009
B
Virginia 1/2/2009
B
New Jersey 1/2/2009
B
Wisconsin 12/16/2022

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)
6120 South Yale Avenue Suite 1800, TULSA, OK 74136
Registered with this firm since 1/2/2009
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
6120 South Yale Avenue Suite 1800, TULSA, OK 74136
Registered with this firm since 1/2/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/02/2007 - 01/06/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) TULSA, OK
B
 04/02/2007 - 01/06/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) TULSA, OK
IA
 02/24/2005 - 04/02/2007 MORGAN STANLEY (CRD#:7556) TULSA, OK
B
 12/08/2004 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) TULSA, OK
IA
 03/17/2004 - 08/06/2004 MORGAN KEEGAN & COMPANY, INC. (CRD#:4161) MEMPHIS, TN
B
 02/11/2003 - 08/06/2004 MORGAN KEEGAN & COMPANY, INC. (CRD#:4161) MEMPHIS, TN
B
 07/07/2000 - 07/25/2002 FROST SECURITIES, INC. (CRD#:47124) DALLAS, TX
B
 09/17/1998 - 07/13/2000 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
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.