Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Christopher? Claim Your ProfileChristopher Moffat is an active investment advisor registered with the state of California and a registered representative of LPL Financial LLC. Christopher has been in the financial industry since October 17, 1995, and holds the Series 7, 9, 10, 63, 65, and SIE licenses. Christopher has a broad range of experience in the financial industry, having worked with various firms including PRUCO SECURITIES, LLC., BANC OF AMERICA INVESTMENT SERVICES, INC., QUICK & REILLY, INC., and MITCHUM, JONES & TEMPLETON, INC.. Christopher is currently associated with LPL Financial LLC, a large, independent broker-dealer with more than 168,000 clients and over $463 billion in assets under management.
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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2
CA
09/28/2006 - Present
LPL Financial LLC (SAN DIEGO CA)
CA
11/08/2005 - 08/24/2006
PRUCO SECURITIES, LLC. (SAN DIEGO CA)
MA
10/20/2004 - 11/23/2004
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
NY
08/04/1995 - 10/20/2004
QUICK & REILLY, INC. (NEW YORK NY)
CA
07/29/1994 - 06/01/1995
MITCHUM, JONES & TEMPLETON, INC. (SAN FRANCISCO CA)
IA
Issued 12/29/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/16/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/08/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/10/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/15/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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