CM
Christopher S. Maclennan
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CRD#: 1059973
CM
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Christopher Scott Maclennan, who also goes by Chris Maclennan, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1982. Christopher had worked at 7 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7, Series 22, Series 6, Series 24 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Chris Maclennan
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
***BAUER LAW OFFICE POSITION: Of Counsel NATURE: BAUER LAW OFFCE/LAW--OF COUNSEL - 30% TIME SPENT INVESTMENT RELATED: No NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 5 START DATE: 11/01/2011 ADDRESS: 7040 Lakeland Ave N, Suite 100, Brooklyn Park MN 55428 DESCRIPTION: Estate and Trusts, Probate, Business Organizations ***CHRISTOPHER S. MACLENNAN POSITION: I just sell insurance and annuities NATURE: I do sell life insurance, primarily thru Hallett Financial Group. I also sell the occasional variable annuity but those submissions are also sent to SAI along with a non-brokerage account application. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/16/2018 ADDRESS: 4501 Minnetonka Blvd, Suite 200, Saint Louis Park MN 55416 DESCRIPTION: Sell the occasional life insurance policy, variable annuity with guaranteed income riders and annuity with Long Term Care Rider ***CHRISTOPHER S. MACLENNAN POSITION: Registed Rep and IAR NATURE: SAA INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 100 START DATE: 10/15/2010 ADDRESS: 4501 Minnetonka Blvd, Suite 200, Saint Louis Park MN 55416 DESCRIPTION: I am a registered Rep and IAR for Securities America Inc. I solicit and manage financial investments for my clients. When a Financial Plan is needed for the client, I associate with Pete Zvanovec of our office. ***CLAIRE C MACLENNAN FAMILY TRUST POSITION: Trustee and Beneficiary NATURE: I am a trustee of my mother's trust Claire C MacLennan family trust which holds real estate property. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/05/2016 ADDRESS: 4501 Minnetonka Blvd, Suite 200, Minneapolis MN 55416 DESCRIPTION: I am a trustee of my mother's trust Claire C MacLennan family trust which holds real estate property. account. Currently the Trust is receiving $9,184.97 per month thru August 2031 as a result of a Buy Sell Agreement with Production Technologies Inc. The Beneficiary Split is 66.66% to Christopher S. MacLennan and 16.67% each to Kimberley Ann MacLennan and Karen Joanne Johnson. The trust also holds real estate at this time. ***JOHN RUTHERFORD MACLENNAN REVOCABLE TRUST DATED MAY 16, 1996 POSITION: Trustee and beneficiary NATURE: John Rutherford Revocable Trust dated May 16, 1996.I am a successor Trustee and my father (who started the Trust) dies on 06/05/2021.I am also a 66.66% beneficiary of the Trust INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/15/2021 ADDRESS: 4501 Minnetonka Blvd, Suite 200, Minneapolis MN 55416 DESCRIPTION: Trustee and currently Personal Representative of the Estate. I am a signatory on the Trust's checking account with Bremer Bank as well as the signatory on the estate checking account with Bremer Bank. Currently under a Buy/Sell Agreement, Production Technologies Inc. pays the Trust $1,273.68 each month thru August 2031.I am in the process of collecting the assets in the Trust which include an interest in at least 4 rental properties, and private ownership in several businesses.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
January 31, 2014 - March 31, 2023
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
ST LOUIS PARK, MN
Past
October 18, 2010 - March 31, 2023
SECURITIES AMERICA, INC.
BD
CRD#: 10205
ST LOUIS PARK, MN
Past
August 1, 2005 - October 22, 2010
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
MINNEAPOLIS, MN
Past
August 29, 1997 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
August 29, 1997 - October 22, 2010
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
MINNEAPOLIS, MN
Past
August 19, 1987 - October 4, 1988
MARQUETTE FINANCIAL GROUP, INC.
BD
CRD#: 345
Past
August 6, 1984 - August 10, 1987
CAPITAL MANAGEMENT SECURITIES, INC.
BD
CRD#: 10579
Past
August 30, 1982 - April 27, 1984
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
SA
SECURITIES AMERICA ADVISORS, INC.
1865 WEALTH ADVISORS AT BANK ON BUFFALO | BREITENFELDT GROUP | BREIDENBAUGH FINANCIAL | BRECEK AND YOUNG FINANCIAL SERVICES | BRASS CITY FINANCIAL | BRANCH DEVELOPMENT PARTNERS | BRADY INVESTMENTS & WEALTH PLANNING | BRADY FINANCIAL | BRADFORD INVESTMENT SERVICES | BRADFORD CAPITAL GROUP | BRADEN FINANCIAL SERVICES | BRAD WERNER & COMPANY | BPA FINANCIAL ADVISORS | BOZEMAN FINANCIAL ADVISORS | BOOTH FINANCIAL GROUP | BONGIOVANNI INSURANCE & FINANCIAL | BOND FINANCIAL NETWORK | BOLIVAR INVESTMENT SERVICES | BLUEMARK ADVISORS | BLUE CHIP FINANCIAL GROUP | BLUE CHIP FINANCIAL | BLOSSER FINANCIAL SERVICES | BLOOMFIELD HILLS ADVISORY | BLANCHARD WEALTH SOLUTIONS | BLAKENEY FINANCIAL GROUP | BLAKEMAN BRISTER PUTMAN FINANCIAL GROUP | BLADE FINANCIAL SERVICES | BLACKHAWK FINANCIAL ADVISORS, INC. | BLACK RIVER ASSOCIATES | BLACK OAK INVESTMENT COUNSEL, INC. | BLACK EARTH WEALTH MANAGEMENT | BJURSTROM WEALTH MANAGEMENT | BIXBY FINANCIAL SERVICES | BISON WEALTH STRATEGIES | BIRDS EYE WEALTH PLANNING | BIGSKY FINANCIAL PLANNING GROUP | BIGMAN CONSULTING SERVICES | BIG SKY FINANCIAL PLANNING GROUP | BIG SKY FINANCIAL | BIERMAIER FINANCIAL MANAGEMENT | BHL FINANCIAL SERVICES | BG&CFS, P | BETHEA, ANGST AND HICKS WEALTH MANAGEMNT | BETHEA, ANGST & HICKS | BETCHER FINANCIAL GROUP | BERRIN MANAGEMENT GROUP | BERNARDY FINANCIAL GROUP | BENSON FINANCIAL SERVICES | BENSON FINANCIAL GROUP | BENEFITS WEST | BEN CAIN & ASSOCIATES | BEAU MCNICHOLAS | BEARD FINANCIAL GROUP | BEACONPATH WEALTH MANAGEMENT | BEACH HOUSE WEALTH MANAGEMENT | BDM FINANCIAL ADVISORS | BCA FINANCIAL SERVICES | BC&I WEALTH MANAGEMENT | BAYSIDE FINANCIAL STRATEGIES | BAYPORT FINANCIAL | BAY VIEW CAPITAL | BAY POINTE WEALTH MANAGEMENT | BAY INVESTMENT GROUP | BARTLER WEALTH MANAGEMENT GROUP | BARONE FINANCIAL GROUP | BARNEY FINANCIAL SERVICES | BARKER FINANCIAL SERVICES | BARE WEALTH ADVISORS | BARBER FINANCIAL CO | BANKS WEALTH MANAGEMENT | BANK ON BUFFALO INVESTMENT ADVISORS | BALL WEALTH MANAGMENT | BALANCED WEALTH MANAGEMENT | BAILLIE & ASSOC WEALTH MANAGEMENT | BAILEY FINANCIAL SERVICES | BACKCOUNTRY INSURANCE SERVICES | AZEVEDO INVESTMENT CORPORATION | AXION FINANCIAL GROUP | AVH INVEST | AUGUSTINE FINANCIAL GROUP | ASTUTE WEALTH MANAGEMENT | ASTRA INVESTMENT SERVICES | ASSOCIATED INVESTOR SERVICES, INC. | ASSOCIATED FINANCIAL CONSULTANTS INC | ASSOCIATED FINANCIAL CONSULTANTS & INVES | ARMSTRONG ADVISORY GROUP | ARMSTRONG ADVISORY | ARKTOS WEALTH MANAGEMENT | ARCH WEALTH ADVISORS | ARCADE WEALTH ADVISORS | ARATA INVESTMENT MANAGEMENT | ARANEO TAX AND FINANCIAL | ANTHONY GIULIANO | ANN M. MOROCCO | ANDERSON-VANHORNE INSURANCE & FINANCIAL | ANDERSON-VANHORNE ASSOCIATES | ANDERSON WEALTH PLANNING | AMS FINANCIAL GROUP | AMERIWEALTH RETIREMENT SERVICES | AMERICAN WEALTH PARTNERS | AMERICAN WEALTH MANAGEMENT | AMERICAN NATIONAL BANK WEALTH MANAGEMENT | AMANDA M. BONOMI, E.A., CFP | ALTSTATT FINANCIAL STRATEGIES | ALTER RETIREMENT PLANNING | ALTA FINANCIAL | ALPHA ONE | ALPHA FINANCIAL SERVICES | ALPHA & OMEGA FINANCIAL SOLUTIONS | ALLLISON WEALTH MANAGMENT | ALLIED FINANCIAL SERVICES | ALLIED FINANCIAL PARTNERS | ALLIED ASSET MANAGEMENT | ALLIANT FINANCIAL SOLUTIONS | ALLIANCE WEALTH MANAGEMENT | ALLAIRE FINANCIAL STRATEGIES | ALL IN FINANCIAL | AGRIFAMILY FINANCIAL SOLUTIONS | AGP FINANCIAL | AGGREGATE WEALTH MANAGEMENT | AFR FINANCIAL GROUP | AFR FINANCIAL | ADVANTAGE FINANCIAL SERVICES | ADVANTAGE FINANCIAL GROUP | ADVANCE FINANCIAL GROUP | ADMIRAL FINANCIAL | ADG FINANCIAL SERVICES | ACERRA & ASSOCIATES | ACCENTRA INVESTMENT SERVICES | ACACIA WEALTH MANAGEMENT | ABELS FINANCIAL SERVICES LTD | ABD INSURANCE AND FINANCIAL SERVICES | A3 FINANCIAL PLANNING | A.M. GINSBERG ADVISORY GROUP | A.B. CAMPBELL & ASSOCIATES | A. KRANITZ ASSOCIATES | 88 PROSPERITY WEALTH MANAGEMENT | 457 PLAN SERVICE GROUP | 435 FINANCIAL | 3G FINANCIAL | 2ND OPINION PARTNERS | 21ST CENTURY SECURITIES | 20/20 WEALTH ADVISORS | 20/20 FINANCIAL GROUP | 2 SISTERS FINANCIAL | 1ST STRATEGIC WEALTH ADVISORS | 1ST STEP FINANCIAL | 1ST FINANCIAL SERVICES | 1865 WEALTH ADVISORS AT FC BANK | 1865 WEALTH ADVISORS AT ERIEBANK | 1865 WEALTH ADVISORS AT CNB BAN...
CRD#: 110518 / SEC#: 801-45628
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Contact information
Main Address
12325 Port Grace Blvd., La Vista, NE 68128-8204
Mailing Address
P.o. Box 460001, Papillion, NE 68046
Phone number
(402) 399-9111
Established
Firm type
Fiscal year end
# of Employees
4,468
Regulatory assets under management
| Total Number of Accounts | 211,150 |
| AUM (Assets Under Management) | $ 40,420,443,233 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2024 | ||
| 12/21/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
