Christopher G. Derocher

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CRD#: 2034229

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 Gerard Derocher was a registered financial professional .

Christopher is a previously registered financial professional and started their career in finance in 1991. Christopher had worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 29, 2016 - June 23, 2016

CORNERSTONE ADVISORS ASSET MANAGEMENT, LLC

RIA

CRD#: 138638

BETHLEHEM, PA

Past

January 28, 2016 - June 21, 2016

CORNERSTONE INSTITUTIONAL INVESTORS, INC.

RIA

CRD#: 44664

BETHLEHEM, PA

Past

August 14, 2015 - June 21, 2016

M HOLDINGS SECURITIES, INC.

CRD#: 43285

BETHLEHEM, PA

Past

November 11, 1991 - May 16, 1994

VANGUARD MARKETING CORPORATION

CRD#: 7452

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".

CORNERSTONE ADVISORS ASSET MANAGEMENT, LLC

CAAM ACQUISITION CO., INC. | CORNERSTONE ADVISORS ASSET MANAGEMENT, LLC | CORNERSTONE ADVISORS ASSET MANAGEMENT INC.

CRD#: 138638 / SEC#: 801-65091

RIA

Registered Investment Advisory firm - (1/4/2006 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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: 1/28/2016

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 6/21/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/14/2015

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/8/1991

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CORNERSTONE ADVISORS ASSET MANAGEMENT, LLC

CAAM ACQUISITION CO., INC. | CORNERSTONE ADVISORS ASSET MANAGEMENT, LLC | CORNERSTONE ADVISORS ASSET MANAGEMENT INC.

CRD#: 138638 / SEC#: 801-65091

RIA

Registered Investment Advisory firm - (1/4/2006 Approved)

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Contact information

Main Address

74 West Broad Street, Suite 340, Bethlehem, PA 18018

Mailing Address

Phone number

(610) 694-0900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CORNERSTONE ADV PART 2A BROCHURE (2/27/2025)

Regulatory assets under management

Total Number of Accounts	1,841
AUM (Assets Under Management)	$ 8,299,028,636

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.

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Firm Stability Insights

Christopher G. Derocher

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CORNERSTONE INSTITUTIONAL INVESTORS, INC.

M HOLDINGS SECURITIES, INC.

VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

CORNERSTONE ADVISORS ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/28/2016

SIE

Date: 6/21/2016

Series 7

Date: 8/14/2015

Series 6

Date: 11/8/1991

Current Firm

CORNERSTONE ADVISORS ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CORNERSTONE ADVISORS ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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