Christopher Morra
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 Morra, AIF®, who also goes by Chris Morra, Christopher Gerard Morra, Christopher G Morra, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1999. Christopher had worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 23, 2021 - July 10, 2023
SANTANDER SECURITIES LLC
July 22, 2021 - July 10, 2023
SANTANDER SECURITIES LLC
January 14, 2020 - July 16, 2020
PRUCO SECURITIES, LLC.
January 14, 2020 - July 16, 2020
PRUCO SECURITIES, LLC.
April 24, 2018 - January 16, 2020
SECURIAN FINANCIAL SERVICES, INC.
April 23, 2018 - January 16, 2020
SECURIAN FINANCIAL SERVICES, INC.
December 1, 2015 - June 27, 2016
LEIGH BALDWIN & CO., LLC
October 27, 2015 - May 2, 2016
PRECISION FINANCIAL SERVICES
September 17, 2013 - December 15, 2015
LPL FINANCIAL LLC
September 11, 2013 - December 15, 2015
LPL FINANCIAL LLC
February 11, 2013 - April 25, 2013
EDWARD JONES
February 11, 2013 - April 25, 2013
EDWARD JONES
February 14, 2012 - January 7, 2013
EQUITABLE ADVISORS, LLC
February 14, 2012 - January 7, 2013
EQUITABLE ADVISORS, LLC
September 29, 2007 - April 1, 2011
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
August 20, 2007 - April 1, 2011
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
June 3, 2002 - May 26, 2004
UBS FINANCIAL SERVICES INC.
August 20, 1999 - May 26, 2004
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
SANTANDER SECURITIES LLC
CRD#: 41791 / SEC#: 801-56796, 8-49571
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SANTANDER SECURITIES LLC
CRD#: 41791 / SEC#: 801-56796, 8-49571
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SANTANDER CAPITAL HOLDINGS, LLC | DIRECT OWNER | |
| BOWLER, DANIEL P | CHIEF FINANCIAL OFFICER | 5354805 |
| CARTER, LAWRENCE ANDREW | CHIEF COMPLIANCE OFFICER | 2113682 |
| CYLC, JOHN ALLAN II | NATIONAL BUSINESS DIRECTOR | 2917559 |
| NEURATH, DUSTIN | DIRECTOR | 8044630 |
| SCHMITZ, NICOLE | CHIEF OPERATIONS OFFICER | 2815862 |
| SNYDER, JONATHAN ANDREW | PRESIDENT & CEO | 6514215 |
| VANNAH, JAMES DOUGLASS | CHIEF LEGAL OFFICER & SECRETARY | 5679595 |
| VILLANO, ALYSON NICOLE | DIRECTOR | 7473984 |
| WATSON, JONATHAN EDWARD | DIRECTOR | 7631421 |
Regulatory assets under management
| Total Number of Accounts | 10,401 |
| AUM (Assets Under Management) | $ 2,553,311,017 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 7 |
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.
