Christopher J. Coward
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.
Christopher J. Coward, who also goes by Christopher J Coward, Christopher Coward, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2002. Christopher had worked at 2 firms and has passed the Series 63, Series 55, Series 7 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
May 25, 2012 - April 2, 2014
UBS ASSET MANAGEMENT (US) INC.
February 4, 2011 - April 17, 2012
UBS SECURITIES LLC
March 7, 2002 - September 2, 2008
UBS SECURITIES LLC
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 55
Date: 2/28/2011
Limited Representative-Equity Trader ExamCurrent Firm
UBS ASSET MANAGEMENT (US) INC.
CRD#: 583 / SEC#: , 8-21901
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 10 |
Red Flags
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