CHRISTOPHER JEAN-BAPTISTE

CHRISTOPHER JEAN-BAPTISTE is currently employed as a Broker and/or Investment Adviser at UBS SECURITIES LLC located at 1285 AVENUE OF THE AMERICAS, NEW YORK, NY, 10019.

CHRISTOPHER JEAN-BAPTISTE has worked at UBS SECURITIES LLC since January 15, 2015

Disclosure History

CHRISTOPHER JEAN-BAPTISTE has 2 Disclosure Event(s).

Date: October 01, 2013
Category: Judgment / Lien
Judgment/Lien Amount: $16,423.00
Judgment/Lien Type: Tax
Broker Comment: I have a monthly schedule payment arrangement to settle the balance with the state. This was a result of not enough withholdings.

Date: March 01, 2013
Category: Judgment / Lien
Judgment/Lien Amount: $63,963.22
Judgment/Lien Type: Tax
Broker Comment: LIEN IS FOR TAX YEARS 2009, 2010, AND 2011. CURRENTLY REPAYING THROUGH AN INSTALLMENT AGREEMENT PLAN WITH THE IRS. PAYS $1,155.00/ PER MONTH

More Information

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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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