Christopher Ryder
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 Ryder, who also goes by Chris Ryder, Christopher John Ryder, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1986. Christopher had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 21, 2018 - August 31, 2020
WELLS FARGO SECURITIES, LLC
June 23, 2017 - May 14, 2018
EVERCORE GROUP L.L.C.
April 17, 2013 - March 3, 2017
CLSA AMERICAS, LLC
June 16, 2010 - June 10, 2013
CREDIT AGRICOLE SECURITIES (USA) INC.
June 29, 2004 - July 14, 2010
LUCRUM CAPITAL, LLC
August 17, 1990 - January 16, 2004
MORGAN STANLEY & CO. LLC
March 16, 1990 - August 8, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 14, 1988 - March 13, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
July 7, 1987 - October 27, 1988
MONTGOMERY SECURITIES
January 21, 1987 - July 6, 1987
ROBERT W. BAIRD & CO. INCORPORATED
November 14, 1986 - July 11, 1987
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
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, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 1 |
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.
