Individual Firm
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ERIC ROSS CHRISTENSEN
ERIC CHRISTENSEN
CRD#: 4719720
IA
B
UBS FINANCIAL SERVICES INC.CRD#: 8174 712 SOUTH EAST OCEAN BOULEVARD
GROUND FLOOR
STUART, FL 34994
GROUND FLOOR
STUART, FL 34994
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4/28/2022
Customer Dispute
Denied
3/14/2011
Customer Dispute
Settled
8/28/2009
Customer Dispute
Settled
State Registrations
B
California 6/13/2006
B
New Mexico 1/24/2018
B
Connecticut 9/18/2006
B
New York 7/20/2004
B
Florida 12/15/2003
B
North Carolina 8/4/2005
IA
Florida 2/2/2004
B
Ohio 7/21/2009
B
Georgia 5/12/2011
B
Pennsylvania 2/6/2008
B
Illinois 3/14/2023
B
South Carolina 8/28/2024
B
Maryland 5/7/2014
B
Tennessee 4/29/2021
B
Massachusetts 3/20/2006
IA
Texas 3/10/2006
B
Michigan 7/6/2011
B
Virginia 1/23/2006
B
Minnesota 8/22/2018
B
Washington 2/23/2021
B
New Jersey 10/19/2005
SRO Registrations
B
B
B
B
B
B
B
B
B
B
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IA
Registered with this firm since 2/2/2004
B
Registered with this firm since 12/15/2003
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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.
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.