Christopher H. Raborg
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 Henry Raborg, who also goes by Chris Raborg, Christophe Raborg, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2004. Christopher had worked at 8 firms and has passed the Series 65, Series 66 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
June 9, 2017 - November 16, 2017
REGAL INVESTMENT ADVISORS LLC
November 12, 2008 - April 3, 2009
BONDS.COM LLC
December 13, 2006 - January 30, 2008
BASIC INVESTORS INC.
November 29, 2004 - July 13, 2006
CITIGROUP GLOBAL MARKETS INC.
November 23, 2004 - July 13, 2006
CITIGROUP GLOBAL MARKETS INC.
September 14, 2004 - November 22, 2004
OAKTREE ASSET MANAGEMENT, LLC
September 8, 2004 - November 22, 2004
FINANCIAL ASSETS CORPORATION
July 8, 2004 - July 28, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
June 30, 2004 - July 28, 2004
IDS LIFE INSURANCE COMPANY
June 30, 2004 - July 28, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
REGAL INVESTMENT ADVISORS LLC
CRD#: 125004 / SEC#: 801-71923
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
REGAL INVESTMENT ADVISORS LLC
CRD#: 125004 / SEC#: 801-71923
Contact information
SEC notice filing (50 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,303 |
| AUM (Assets Under Management) | $ 2,447,941,075 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/06/2023 | ||
| 12/06/2023 | ||
| 12/06/2023 |
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.
