Christopher G. Kau
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 George Kau was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1988. Christopher had worked at 4 firms and has passed the Series 63, SIE, 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
April 22, 2010 - December 15, 2014
INVESTMENT ADVISORS ASSET MANAGEMENT, LLC
November 29, 2006 - September 29, 2020
OSAIC WEALTH, INC.
October 26, 2004 - October 13, 2020
CREATIVE ASSET MANAGEMENT
March 17, 1988 - December 4, 2006
INVESTMENT ADVISORS & CONSULTANTS, INC.
State Registrations and Notice Filings
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Exams
Current Firm
INVESTMENT ADVISORS ASSET MANAGEMENT, LLC
CRD#: 128716 / SEC#: 801-62575
Contact information
Red Flags
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