Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Christopher? Claim Your ProfileChristopher Brennen is a financial professional with over 28 years of experience in the financial services industry. Christopher has held various roles at several firms including LPL Financial LLC, Key Investment Services LLC, Wells Fargo Clearing Services LLC and now is an advisor at Cadaret, Grant & CO., Inc.. Christopher is licensed to provide investment advice in Delaware, Florida, New Mexico, New York, and Virginia. Christopher's expertise includes financial planning, pension consulting, and portfolio management for individuals and businesses. He is also a registered investment advisor in New York.
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.
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
NY
09/30/2021 - Present
Cadaret, Grant & CO., Inc. (New Hartford NY)
NY
06/23/2017 - 08/26/2021
WELLS FARGO CLEARING SERVICES, LLC (CLINTON NY)
NY
09/21/2016 - 07/11/2017
KEY INVESTMENT SERVICES LLC (WHITESTOWN NY)
NY
05/15/2012 - 09/21/2016
LPL FINANCIAL LLC (NEW HARTFORD NY)
NY
03/24/2010 - 05/15/2012
HSBC SECURITIES (USA) INC. (WHITESBORO NY)
NY
07/12/2007 - 03/19/2010
CCO INVESTMENT SERVICES CORP. (DERUYTER NY)
NY
01/08/2003 - 07/31/2007
LINSCO/PRIVATE LEDGER CORP. (CLINTON NY)
NY
04/09/1999 - 12/05/2002
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
02/08/1995 - 04/13/1999
FLAGSHIP SECURITIES, INC. (SYRACUSE NY)
NJ
11/19/1993 - 09/21/1994
PRUCO SECURITIES CORPORATION (NEWARK NJ)
IA
Issued 04/26/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/06/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/28/1999
Series 31 - Futures Managed Funds Examination
BC
Issued 02/23/1995
Series 7 - General Securities Representative Examination
BC
Issued 11/18/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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