Christopher P. Prien

WATERROCK WEALTH MANAGEMENT

Albuquerque, NM 87110

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CRD#: 1988563

Professional summary

Christopher Paul Prien, who also goes by Chris Prien, is a registered financial advisor currently at WATERROCK WEALTH MANAGEMENT located in Albuquerque, New Mexico.

Christopher is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Christopher has worked at 24 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Chris Prien

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

CHRISTOPHER PRIEN. POSITION: Insurance agent. NATURE: Insurance sales. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 07/07/2016 ADDRESS: Albuquerque NM DESCRIPTION: Fixed insurance sales. Prien Realty Advisors. POSITION: Admin Assistant, NATURE: Admin activities. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2024 ADDRESS: Albuquerque NM DESCRIPTION: Admin assistant to Trish Prien Prien Insurance Solutions, LLC; Is the business investment related: No; Location of the business:Albuquerque, New Mexico United States; Description of the business: In his separate capacity Mr Prien Serves as CEO of Prien Insurance Solutions, LLC located in Albuquerque, NM. Mr Prien calls on other licensed insurance agents to assist them in providing fixed, fixed indexed annuities, life insurance and Disability Insurance for their clients. Mr Prien spends approximately 20 hours per month in this capacity. ; Position Title: CEO; Start date with business: 3-1-22 Hours per month devoted to business during trading hours: 10; Hours per month devoted to business outside trading hours: 10; Percentage of total yearly compensation expected to be derived from the business: 15; Will an IRS form for income earned be received: Yes;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Paul Prien's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 1, 2018 - Present

WATERROCK WEALTH MANAGEMENT

Office #1: 6565 Americas Parkway Ne Ste 200, Albuquerque, NM 87110

RIA

CRD#: 296462

Albuquerque, NM

Past

July 8, 2016 - February 2, 2018

QUESTAR ASSET MANAGEMENT, INC.

RIA

CRD#: 133358

ALBUQUERQUE, NM

Past

July 7, 2016 - February 2, 2018

QUESTAR CAPITAL CORPORATION

CRD#: 43100

ALBUQUERQUE, NM

Past

May 4, 2015 - May 20, 2016

FINANCIAL PARTNERS, LLC

RIA

CRD#: 170002

SANTA FE, NM

Past

May 1, 2015 - July 11, 2016

CRD#: 5167

NEW YORK, NY

Past

March 3, 2004 - April 1, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 14597

Past

February 9, 1990 - July 11, 1990

MLB INVESTMENTS, LTD.

CRD#: 18280

Past

January 31, 1990 - February 13, 1990

FIRST EAGLE, INC.

CRD#: 16509

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WATERROCK WEALTH MANAGEMENT

PRIEN ASSET MANAGEMENT, LLC | WATERROCK WEALTH MANAGEMENT

CRD#: 296462 / SEC#: 801-128547

RIA

Registered Investment Advisory firm - (8/10/2023 Approved)

New Mexico

Registered Investment Advisory firm - (8/14/2023 Terminated)

Texas

Registered Investment Advisory firm - (8/14/2023 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arizona
(10/31/2023)

IAR

New Mexico
(6/1/2018)

IAR

Texas
(4/12/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/1/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/7/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 2/2/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/27/1990

General Securities Representative Examination

Current Firm

WATERROCK WEALTH MANAGEMENT

PRIEN ASSET MANAGEMENT, LLC | WATERROCK WEALTH MANAGEMENT

CRD#: 296462 / SEC#: 801-128547

RIA

Registered Investment Advisory firm - (8/10/2023 Approved)

New Mexico

Registered Investment Advisory firm - (8/14/2023 Terminated)

Texas

Registered Investment Advisory firm - (8/14/2023 Terminated)

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Contact information

Main Address

6565 Americas Parkway Ne Ste 200, Albuquerque, NM 87110

Mailing Address

Phone number

(505) 831-6342

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A, 2B AND PRIVACY POLICY (10/17/2025)

Regulatory assets under management

Total Number of Accounts	275
AUM (Assets Under Management)	$ 132,519,125

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.

Contact information

xxxxx@xxxx.xxx

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Christopher P. Prien

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Paul Prien's CRS (Customer Relationship Summary).

Certified licenses

Experience

QUESTAR ASSET MANAGEMENT, INC.

QUESTAR CAPITAL CORPORATION

FINANCIAL PARTNERS, LLC

LPL FINANCIAL LLC

BBVA SECURITIES INC.

PNC MANAGED ACCOUNT SOLUTIONS, INC.

BBVA COMPASS INVESTMENT SOLUTIONS, INC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

EDWARD JONES

EDWARD JONES

THORNBURG INVESTMENT MANAGEMENT INC

THORNBURG SECURITIES LLC

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

NYLIFE DISTRIBUTORS LLC

NYLIFE SECURITIES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

THORNBURG SECURITIES LLC

ALLSTATE FINANCIAL SERVICES, LLC

INVEST FINANCIAL CORPORATION

INVESCO DISTRIBUTORS, INC.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

PRINCETON FINANCIAL GROUP, INC.

MLB INVESTMENTS, LTD.

FIRST EAGLE, INC.

Primary Firm SEC Registration

WATERROCK WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 3/1/2004

Series 63

Date: 1/7/1994

SIE

Date: 2/2/2018

Series 7

Date: 1/27/1990

Current Firm

WATERROCK WEALTH MANAGEMENT

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WATERROCK WEALTH MANAGEMENT

TRUST BUT VERIFY

Contact information

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