Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Chris? Claim Your ProfileChris Iwamasa is an investment advisor representative who has been in the industry since October 26, 2007. Chris is currently registered with Rockefeller Financial LLC in the state of California and Texas. Chris has previously worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated, UnionBanc Investment Services, LLC, and Banc of America Investment Services, Inc. Chris has a wide range of experience in the financial services industry and is committed to providing clients with personalized financial advice. Chris holds the Series 6, 7, 63, and 66 securities licenses.
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.
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.
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.
A percentage of the total value of assets under management is charged.
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2
CA
02/26/2021 - Present
Rockefeller Financial LLC (Los Angeles CA)
CA
09/05/2014 - 03/01/2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (IRVINE CA)
CA
01/08/2010 - 05/07/2014
UNIONBANC INVESTMENT SERVICES, LLC (NEWPORT BEACH CA)
CA
10/17/2006 - 04/28/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (NEWPORT BEACH CA)
BOTH
Issued 03/09/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/20/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/26/2014
Series 7 - General Securities Representative Examination
BC
Issued 10/16/2006
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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