Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kris? Claim Your ProfileKris Wappaus is a financial advisor with over 25 years of experience in the industry. Kris has been with RBC Capital Markets, LLC since September 2020. Prior to that, Kris worked at UBS Financial Services Inc. from 2011 to 2020 and Wells Fargo Advisors, LLC from 2005 to 2011. Kris is registered with the Securities and Exchange Commission (SEC) as an Investment Advisor Representative and holds Series 7, 63, 31, and 65 licenses. Kris specializes in providing financial planning and investment management services to individuals, families, corporations, and institutions.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
VA
09/17/2020 - Present
RBC Capital Markets, LLC (Vienna VA)
VA
02/25/2011 - 09/28/2020
UBS FINANCIAL SERVICES INC. (VIENNA VA)
VA
09/09/2005 - 02/28/2011
WELLS FARGO ADVISORS, LLC (MCLEAN VA)
NY
05/12/2000 - 09/19/2005
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
09/18/1996 - 05/25/2000
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NY
10/30/1995 - 08/19/1996
SMITH BARNEY INC. (NEW YORK NY)
IA
Issued 09/23/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/14/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/24/1996
Series 31 - Futures Managed Funds Examination
BC
Issued 10/26/1995
Series 7 - General Securities Representative Examination
Active
Inactive
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 PEARL, 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 PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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