Last Updated: October 2025 — Dallas, TX
Here’s what you need to know about Dallas, TX stockbroker Christopher Lyle Halstedt:
- Name: Christopher Lyle Halstedt (a/k/a Christopher L. Halstedt).
- Current Employer: UBS Financial Services Inc., 100 Crescent Court, Suite 400, Dallas, TX 75201 (CRD #8174). Registered with UBS as a broker since 08/05/2024 and as an investment adviser representative since 07/23/2024.
- Prior Firms: Goldman Sachs & Co. LLC (Dallas, TX) — 07/2013–08/2024; Goldman, Sachs & Co. (New York, NY) — 08/2008–08/2011.
- Other Business Affiliations: Trustee, Charitable Lead Annuity Trust (investment-related; began 09/01/2015; ~1 hour/month; asset-management/trustee duties).
- CRD number: 5372532.
- Stockbroker / Financial Advisor: Yes — currently registered with 10 SROs; licensed in 33 U.S. states/territories.
- Can Broker be Sued in FINRA: Yes (customer disputes and arbitrations are brought through FINRA).
- Highest Award of Settlement: $44,000 (customer complaint settled 02/21/2025; individual contribution $0).
If you’ve sustained damages from Mr. Halstedt, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Christopher L. Halstedt As Your Stockbroker?
BrokerCheck discloses a customer complaint involving a managed/wrap account at UBS Financial Services Inc. alleging that the client’s instructions not to liquidate equity positions were not followed during September 6, 2024–February 19, 2025. UBS reported receiving the complaint on February 14, 2025; it was settled on February 21, 2025 for $44,000 (no personal contribution by Mr. Halstedt). Product type listed: “19—Managed/Wrap Accounts (Outside Money Manager).”
Mr. Halstedt’s statement describes a miscommunication concerning a portfolio rebalance and states that UBS remediated the account to restore the position the client wished to keep.
Allegations of Broker Misconduct Against Christopher L. Halstedt
- Failure to follow client instructions / Unauthorized trading. Executing transactions contrary to a client’s explicit directions can implicate FINRA Rule 3260 (Discretionary Accounts) and FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade).
- Unsuitability. If a recommendation or resulting allocation did not align with the client’s profile, FINRA Rule 2111 (Suitability) may be implicated; for retail customers, SEC Regulation Best Interest (Exchange Act Rule 15l-1)imposes a best-interest obligation when making recommendations.
- Breach of fiduciary-type obligations / Best-interest duties. In the retail brokerage context, Reg BI’s Care and Disclosure obligations may be relevant where communications or actions fall short of the client’s best interest.
(The BrokerCheck record characterizes the matter as a miscommunication during a rebalance; the above rules are commonly cited in similar allegations and are provided for context.)
Recover Your Investment Losses Now With Rex Securities Law
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If you have suffered investment losses in an account handled by Christopher Lyle Halstedt, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
Firms We Have Pursued On Behalf of Our Clients
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis, meaning that you do not pay legal fees unless we are successful.