Dennis S. Christensen
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.
Dennis Steven Christensen was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1976. Dennis had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 5, PC, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 12, 2003 - January 25, 2018
UBS FINANCIAL SERVICES INC.
September 12, 2003 - January 25, 2018
UBS FINANCIAL SERVICES INC.
April 15, 2003 - September 16, 2003
OPPENHEIMER ASSET MANAGEMENT
January 3, 2003 - April 15, 2003
OPPENHEIMER & CO. INC.
January 3, 2003 - September 16, 2003
OPPENHEIMER & CO. INC.
June 1, 2001 - January 3, 2003
CIBC WORLD MARKETS CORP.
May 24, 2001 - January 3, 2003
CIBC WORLD MARKETS CORP.
June 28, 2000 - June 11, 2001
UBS FINANCIAL SERVICES INC.
April 3, 1988 - April 18, 1995
CIBC WORLD MARKETS CORP.
September 20, 1979 - July 5, 2000
CIBC WORLD MARKETS CORP.
September 26, 1978 - October 28, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 1, 1976 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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: 10/19/1981
Interest Rate Options ExaminationPC
Date: 9/25/1979
AMEX Put and Call ExamSeries 8
Date: 11/1/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current 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 | 476 |
| Civil Event | 5 |
| Arbitration | 444 |
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.
