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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Christopher? Claim Your ProfileChristopher Roering is a financial advisor with over 30 years of experience in the financial services industry. Christopher has a wide range of experience in various financial products and services, including securities, futures and investment advisory services. Christopher is registered to provide financial advice in 24 states. Currently Christopher works at Wells Fargo Clearing Services, LLC. Christopher is a highly experienced advisor with a strong track record of providing customized financial solutions to meet client needs.
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.
Investment consulting services to institutional clients
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
MA
03/11/2011 - Present
Wells Fargo Clearing Services, LLC (WORCESTER MA)
MA
02/21/2006 - 02/02/2009
CITIGROUP GLOBAL MARKETS INC. (WORCESTER MA)
MD
06/30/2000 - 02/21/2006
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
NJ
06/10/1991 - 07/19/2000
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
04/25/1990 - 03/13/1991
GRUNTAL & CO. INCORPORATED (NEW YORK NY)
NY
06/20/1989 - 04/23/1990
HIBBARD BROWN & CO., INC. (NEW YORK NY)
IA
Issued 08/19/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/27/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/18/2007
Series 31 - Futures Managed Funds Examination
BC
Issued 06/17/1989
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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