Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Christopher? Claim Your ProfileChristopher Sozio is a financial advisor who has been in the industry since June 26, 2001. Christopher is currently registered with Raymond James & Associates, Inc., where Christopher is a registered representative. Before joining Raymond James & Associates, Inc. in September 2016, Christopher was employed by DEUTSCHE BANK SECURITIES INC. for a short time and FIDELITY BROKERAGE SERVICES LLC for 15 years. Christopher is licensed in 48 states and is a registered Investment Advisor in Texas. Christopher holds several licenses including Series 7, 9, 10, 63 and 66. Christopher has specialized experience in Financial Planning, Portfolio Management for Individuals and Businesses, Pension Consulting, and Educational Seminars.
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.
Please see note in schedule d - miscellaneous
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.
1
2
TX
09/06/2016 - Present
Raymond James & Associates, Inc. (Fort Worth TX)
TX
07/20/2016 - 09/06/2016
DEUTSCHE BANK SECURITIES INC. (DALLAS TX)
TX
06/27/2001 - 07/13/2016
FIDELITY BROKERAGE SERVICES LLC (WESTLAKE TX)
BOTH
Issued 08/20/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/10/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/11/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/09/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/26/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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