Christine H. Geston
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Christine Harriet Geston, who also goes by Christine Geston Moon, Chris Quickel, Christine Geston Quickel, was a registered financial professional .
Christine is a previously registered financial professional and started their career in finance in 1981. Christine had worked at 14 firms and has passed the Series 65, Series 63, Series 5, Series 7, Series 12, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 7, 2014 - August 20, 2014
UBS FINANCIAL SERVICES INC.
April 3, 2014 - August 20, 2014
UBS FINANCIAL SERVICES INC.
September 17, 2010 - November 6, 2012
MORGAN STANLEY
June 1, 2009 - November 6, 2012
MORGAN STANLEY
October 5, 2004 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
February 28, 2003 - September 28, 2004
INVESTOR FORCE SECURITIES, INC.
May 25, 1999 - November 12, 2002
LEGG MASON WOOD WALKER, INCORPORATED
January 7, 1999 - January 12, 1999
KEOGLER INVESTMENT ADVISORY, INC.
December 23, 1998 - December 31, 1998
KEOGLER, MORGAN & COMPANY, INC.
October 7, 1998 - June 14, 1999
SPECIALIZED INVESTMENTS DIVISION
March 14, 1996 - May 24, 1999
FSC SECURITIES CORPORATION
October 21, 1992 - April 23, 1996
KEOGLER, MORGAN & COMPANY, INC.
February 24, 1992 - October 20, 1992
ARGENT SECURITIES, INC.
September 25, 1989 - April 7, 1990
ESSEX COMPANY
April 29, 1986 - October 4, 1989
EQUITY SERVICES, INC.
December 13, 1983 - June 6, 1984
ALEX. BROWN & SONS INCORPORATED
August 20, 1981 - December 8, 1983
THE ROBINSON-HUMPHREY COMPANY, LLC
Primary Firm SEC Registration
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 10/26/1981
Interest Rate Options ExaminationSeries 12
Date: 12/17/2000
NYSE Branch Manager ExaminationCurrent Firm
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC. | OWNER | |
| CAMACHO, MICHAEL ALAN | PRESIDENT | 2907298 |
| FRANCOMANO, LISA M. | CHIEF COMPLIANCE OFFICER FOR THE ADVISORY BUSINESS | 2263875 |
| MATTONE, RALPH | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| MOZER, PETER | MANAGING DIRECTOR | 2523858 |
| MUNFA, LAUREN | CHIEF COMPLIANCE OFFICER | 4431011 |
| SAKAI, KIYE | GENERAL COUNSEL | 7451987 |
| SOMMA, JOSEPH | PRINCIPAL OPERATIONS OFFICER | 2219496 |
Regulatory assets under management
| Total Number of Accounts | 1,134,923 |
| AUM (Assets Under Management) | $ 808,822,670,899 |
Disclosures
| Regulatory Event | 475 |
| Civil Event | 5 |
| Arbitration | 443 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/26/2025 | ||
| 05/15/2024 | ||
| 12/19/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
