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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Chris? Claim Your ProfileChris Charles Dumford is a financial advisor registered with LPL Financial LLC. Chris has been in the financial services industry since 1989, working previously at firms such as Lehman Brothers Inc. and Smith Barney, Harris Upham & Co., Incorporated. Chris offers a wide range of services, including financial planning, portfolio management, and consulting. Chris holds licenses and registrations in several states, including California, Texas, New York, and Arizona. Chris's firm, LPL Financial LLC, provides financial planning and investment management services to individuals, families, businesses, and institutions.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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CA
01/08/2025 - Present
LPL Financial LLC (WESTLAKE VILLAGE CA)
NY
10/21/1991 - 07/02/1993
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)
NY
05/23/1989 - 10/31/1991
LEHMAN BROTHERS INC. (NEW YORK NY)
BC
Issued 06/01/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/26/1993
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/26/1989
Series 3 - National Commodity Futures Examination
BC
Issued 05/20/1989
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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