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Christopher Kevin Ooten

Jefferies LLC

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About Christopher Kevin Ooten

Christopher Ooten is a Financial Advisor with Jefferies LLC. Christopher has been in the securities industry since 1998 and has extensive experience in the financial services industry. Christopher holds FINRA Series 7, 24, 63, 79, and SIE licenses. Christopher is registered with the state of Florida and New York. Christopher has previously worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated and Banc of America Securities LLC.

Firm Information

Christopher Ooten is currently registered with Jefferies LLC. Jefferies LLC is a Limited Liability Company formed on March 1, 2013, operating in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. They are approved by the SEC and hold active registrations in all 53 jurisdictions.

Not reported

Assets Under Management

Not reported

Total Clients

446

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Christopher Ooten’s Registration & Firm History

FL

09/12/2016 - Present

Jefferies LLC (MIAMI FL)

NY

11/01/2010 - 09/13/2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NY

05/21/2004 - 11/01/2010

BANC OF AMERICA SECURITIES LLC (NEW YORK NY)

NY

10/20/1998 - 04/29/2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 11/16/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/07/2015

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/19/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Christopher Kevin Ooten.
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