Christopher P. Cross
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 Phillip Cross was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1985. Christopher had worked at 6 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 17, 1997 - June 9, 2000
WELLS FARGO SECURITIES INC.
February 7, 1990 - June 2, 1995
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
December 5, 1988 - September 27, 1989
HUNTINGTON INVESTMENTS, INC.
July 2, 1987 - April 9, 1988
ANGELES SECURITIES CORPORATION
November 27, 1985 - September 26, 1986
B.C. CHRISTOPHER SECURITIES CO.
July 27, 1985 - September 20, 1985
FIRST JERSEY SECURITIES, INC.
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
WELLS FARGO SECURITIES INC.
CRD#: 17438 / SEC#: , 8-35225
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAGEN MACKENZIE GROUP, INC. | DIRECT OWNER | |
| BENSUSSEN, VICTOR LAWRENCE | DIRECTOR/FINANCIAL OPERATIONS OFFICER & TREASURER | 1523151 |
| BRONSTEIN, GREGORY PHILLIP | SENIOR VICE PRESIDENT & DIRECTOR | 2276699 |
| DAGGS, CHARLES WILLARD III | DIRECTOR | 59782 |
| FREEMAN, SHELLEY STEUER | EXECUTIVE VICE PRESIDENT & DIRECTOR | 1262649 |
| KAUFMAN, LEAH MARIE | SROP | 2221956 |
| MOORADIAN, DENNIS JACK | CHAIRMAN, PRESIDENT, CHIEF OPERATIONS OFFICER, DIRECTOR, & MUNICIPAL SECURITIES PRINCIPAL | 338698 |
| ROSS, PATRICIA ANN | SENIOR VICE PRESIDENT & CHIEF COMPLIANCE OFFICER, CROP | 717926 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 11 |
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.
