Christopher E. Pierce
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 Edward Pierce, who also goes by Chris Edward Pierce, was a registered financial advisor .
Christopher is a previously registered financial advisor and started their career in finance in 1989. Christopher had worked at 10 firms and has passed the Series 66, Series 65, Series 63, Series 7 and Series 31 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 2010 - December 16, 2010
OPPENHEIMER & CO. INC.
October 4, 2010 - December 16, 2010
OPPENHEIMER & CO. INC.
June 4, 2010 - August 18, 2010
CAMBRIDGE INVESTMENT RESEARCH, INC.
April 30, 2008 - June 2, 2010
COMMERCE BROKERAGE SERVICES, INC.
April 1, 2008 - June 2, 2010
COMMERCE BROKERAGE SERVICES, INC.
March 26, 2007 - September 5, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 22, 2007 - September 5, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 21, 1999 - September 10, 1999
WADDELL & REED
February 27, 1998 - August 19, 1998
MORGAN STANLEY DW INC.
September 26, 1996 - October 27, 1997
JOHN G. KINNARD AND COMPANY, INCORPORATED
November 20, 1995 - October 1, 1996
JM DISSOLUTION, INC.
April 10, 1995 - July 18, 1995
THE CHICAGO CORPORATION
November 4, 1993 - April 18, 1995
OPPENHEIMER & CO. INC.
September 19, 1989 - February 6, 1990
FIRST BANKERS' BANC SECURITIES, INC
Primary Firm SEC Registration
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
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
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VINER FINANCE INC. | PARENT CO. | |
| CASSIDY, THOMAS EDWARD | MANAGING DIRECTOR | 4502955 |
| GIORDANO, PETER JOHN | MANAGING DIRECTOR-CHIEF ADMINISTRATIVE OFFICER | 2921308 |
| HARRINGTON, EDWARD PATRICK | EXECUTIVE VICE PRESIDENT - PRIVATE CLIENT SERVICES | 2566682 |
| LOWENTHAL, ALBERT GRINSFELDER | EXECUTIVE CHAIRMAN-DIRECTOR-OWNS 100% OF PHASE II FIN'L | 313519 |
| LOWENTHAL, ROBERT STEVEN | CEO-PRESIDENT-DIRECTOR | 1639913 |
| MCNAMARA, DENNIS PATRICK | E.V.P./CLO/SECRETARY | 2938486 |
| MOLOKIE JR, LEON E | EXECUTIVE VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 1743402 |
| VALENTINO, DOMINIC THOMAS | CHIEF COMPLIANCE OFFICER | 6940515 |
| WATKINS, BRAD MICHAEL | DIRECTOR-EXECUTIVE VICE PRESIDENT-CFO | 6319251 |
Regulatory assets under management
| Total Number of Accounts | 37,605 |
| AUM (Assets Under Management) | $ 32,418,994,154 |
Disclosures
| Regulatory Event | 102 |
| Civil Event | 1 |
| Arbitration | 180 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 10/25/2023 | ||
| 02/24/2023 |
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.
