Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Christopher? Claim Your ProfileChristopher Rumley is a financial advisor registered with Wells Fargo Clearing Services, LLC. Christopher has been working in the financial industry since December 2014. Christopher has held previous positions with PRUCO Securities, LLC., BANC OF AMERICA INVESTMENT SERVICES, INC., ING BARINGS LLC, SANFORD C. BERNSTEIN & CO., INC., and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Christopher is registered in North Carolina and South Carolina. Christopher has earned the following licenses and certifications: Series 6, Series 7, Series 9, Series 10, Series 63, and Series 66.
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.
1
2
MO
06/18/2024 - Present
Wells Fargo Clearing Services, LLC (ST. LOUIS MO)
NC
04/01/2009 - 10/23/2009
PRUCO SECURITIES, LLC. (CHARLOTTE NC)
SC
07/04/2005 - 01/29/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (ROCK HILL SC)
NY
04/07/2000 - 01/31/2001
ING BARINGS LLC (NEW YORK NY)
NY
06/22/1999 - 03/03/2000
SANFORD C. BERNSTEIN & CO., INC. (NEW YORK NY)
NY
09/17/1998 - 04/01/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 03/24/2023
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/27/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/24/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/26/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/16/2021
Series 7TO - General Securities Representative Examination
BC
Issued 01/13/2021
SIE - Securities Industry Essentials Examination
BC
Issued 07/01/2005
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 09/16/1998
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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