CO
Christiane Olsen
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CRD#: 1306992
CO
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.
Christiane Olsen was a registered financial professional .
Christiane is a previously registered financial professional and started their career in finance in 1984. Christiane had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Biography
Ms. Olsen has over 33 years experience in the financial services industry. She received a BS degree in Economics from New York University in 1982. Chris has extensive experience in the fixed income bond markets with special expertise in municipal bonds. Chris is also a member of the firms Chairman Council. In 2008, 2009, 2010, 2011, 2012, and 2013Chris was included in Barron's Top 100 Women's Financial Advisors List; as well as the Barron's Top 1000 Advisors in the US. Chris was also recognized in 2009 be Registered Rep. Magazine as one of the Top 100 Wirehouse Advisors. She is a member of the Financial Women's Association and Women's Municipal Bond Club.
Question & Answer
What are your service offerings?
Trust & estate planning
Philanthropic services
Financial planning
Trading individual securities
Institutional consulting
Loans/credit services
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
3M
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
ESTEE LAUDER / 767 FIFTH AVENUE NEW YORK, NEW YORK 10153 / COMPANY / RETAILERS (APPAREL, FOOD, GENERAL) / COSMETIC COMPANY / OTHER ADVISE COMMITTEE ON DEFINED BENEFIT AND 401-K PLANS / ADVISE on Corporate Retirement Plan / START DATE 09/20/2011 / APPROX 4 HOURS QUARTERLY
2)RE BEAUTY / 110 RUSSELL STREET CORNWALL,NY 12518 / COMPANY/ RETAILERS (APPAREL, FOOD, GENERAL) / DIRECT SALES COSMETIC BUSINESS / MEMBER OF BOARD OF DIRECTORS / / MEETING WHEN THE CEO REQUESTS / START DATE 1/12/2015/2020 Women on Boards / P.O. Box 301095 Jamaica Plain,MA 02130 / Other/ Other A national campaign to increase teh percentage of women on US company boards to 20% or greater by 2020. / An advocacy organization / Other / Chairman of NY committee to promote Nov 2017 event / Co-ordinate event with committee / Start Date 5/12/2017/not for profit / Not sure
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
August 18, 2005 - April 19, 2024
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
NEW YORK, NY
Past
August 23, 2002 - January 6, 2025
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
NEW YORK, NY
Past
April 29, 2002 - September 7, 2002
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
NEW YORK, NY
Past
March 9, 2002 - September 7, 2002
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
June 6, 1989 - March 9, 2002
TUCKER ANTHONY INCORPORATED
BD
CRD#: 837
BOSTON, MA
Past
December 3, 1987 - June 14, 1989
DRIZOS INVESTMENTS, INC.
BD
CRD#: 15087
MORRISTOWN, NJ
Past
March 27, 1985 - April 10, 1985
BEVILL, BRESLER & SCHULMAN INCORPORATED
BD
CRD#: 6971
Past
September 26, 1984 - February 11, 1985
RUSSELL & CO
BD
CRD#: 10264
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
UBS FINANCIAL SERVICES INC.
PAINE, WEBBER, JACKSON & CURTIS INC. | WEALTH MANAGEMENT USA | UBS PAINEWEBBER INC. | UBS FINANCIAL SERVICES INC. | PAINEWEBBER INCORPORATED | PAINEWEBBER INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
RIA
Registered Investment Advisory firm - SEC (1/22/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
UBS FINANCIAL SERVICES INC.
PAINE, WEBBER, JACKSON & CURTIS INC. | WEALTH MANAGEMENT USA | UBS PAINEWEBBER INC. | UBS FINANCIAL SERVICES INC. | PAINEWEBBER INCORPORATED | PAINEWEBBER INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
RIA
Registered Investment Advisory firm - SEC (1/22/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
1200 Harbor Boulevard, Weehawken, NJ 07086
Mailing Address
315 Deaderick Street 3rd Fl, Compliance Department, Nashville, TN 37238
Phone number
(201) 352-3000
Established
Delaware since 06/30/1969
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
12,629
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.
Company Information
UBS FINANCIAL SERVICES INC.
Managing DirectorCRD#: 8174TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
