Christopher Wofford
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 Wofford, who also goes by Christopher Hunt Wofford, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1988. Christopher had worked at 9 firms and has passed the Series 63, Series 22TO, Series 79TO, Series 6TO, Series 82TO, Series 52TO, Series 99TO, Series 7TO, SIE, Series 7, Series 14, Series 39, Series 26, Series 10 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
July 12, 2023 - July 16, 2024
DELPHOS MMJ L.P.
July 25, 2019 - January 5, 2021
WELLS FARGO SECURITIES, LLC
September 7, 2016 - May 24, 2018
ROBERT W. BAIRD & CO. INCORPORATED
June 29, 2009 - June 4, 2016
MACQUARIE CAPITAL (USA) INC.
January 5, 2007 - April 30, 2009
BANC OF AMERICA SECURITIES LLC
July 3, 2001 - December 15, 2006
J.P. MORGAN SECURITIES LLC
September 14, 1994 - May 1, 2000
PERSHING LLC
July 16, 1991 - December 31, 1991
L.M. KOHN & COMPANY
September 20, 1988 - April 8, 1989
MABON, NUGENT & CO.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 22TO
Date: 3/29/2024
Direct Participation Programs Representative ExaminationSeries 79TO
Date: 3/29/2024
Investment Banking Registered Representative ExaminationSeries 6TO
Date: 3/29/2024
Investment Company Products/Variable Contracts Representative ExaminationSeries 82TO
Date: 3/29/2024
Limited Representative-Private Securities OfferingsSeries 52TO
Date: 3/29/2024
Municipal Securities Representative ExaminationSeries 99TO
Date: 3/29/2024
Operations Professional ExaminationSeries 7TO
Date: 12/22/2022
General Securities Representative ExaminationCurrent Firm
DELPHOS MMJ L.P.
CRD#: 137389 / SEC#: , 8-67083
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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