Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Christopher? Claim Your ProfileChristopher Roos is a financial advisor with Capital One Securities, Inc. Christopher has been in the financial services industry for over 20 years. Christopher has a Series 7, Series 31, and Series 66 license and is registered with the state of Louisiana. Christopher is also registered with FINRA. Christopher has previously worked at Citigroup Global Markets Inc., Legg Mason Wood Walker, Incorporated and Morgan Stanley DW Inc.
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.
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.
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2
LA
05/08/2008 - Present
Capital ONE Securities, Inc. (NEW ORLEANS LA)
LA
02/21/2006 - 05/22/2008
CITIGROUP GLOBAL MARKETS INC. (MANDEVILLE LA)
MD
03/31/2004 - 02/21/2006
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
NY
05/30/2000 - 04/02/2004
MORGAN STANLEY DW INC. (PURCHASE NY)
BOTH
Issued 08/21/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/07/2000
Series 31 - Futures Managed Funds Examination
BC
Issued 05/27/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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