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Detailed Report
CHRISTINE A MULKERRIN
CRD#: 4727782
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 600 Grant StreetSuite 4650
PITTSBURGH, PA 15219
Registration History
200420062008201020122014201620182020202220242026IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2019 - Present (6 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2004 - Present (21 years)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2012 - 2019 (6 years)
Disclosure(s)
View By:
10/11/2022
Judgment / Lien
License(s)

State Registrations

B
California 1/8/2010
B
Kentucky 8/31/2022
B
Colorado 1/27/2011
B
Missouri 7/13/2018
B
Florida 1/8/2010
B
New York 1/8/2010
B
Georgia 7/24/2020
B
Ohio 1/27/2011
B
Illinois 1/14/2015
B
Pennsylvania 6/26/2006
B
Iowa 11/20/2018
IA
Pennsylvania 3/27/2019
IA
Iowa 9/15/2021
B
Texas 7/24/2020

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)
600 Grant StreetSuite 4650, PITTSBURGH, PA 15219
Registered with this firm since 3/27/2019
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
600 Grant StreetSuite 4650, PITTSBURGH, PA 15219
Registered with this firm since 1/21/2004
Previous Registration(s)
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IA
 09/07/2012 - 03/12/2019 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEST DES MOINES, IA
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.