Christopher T. Bollenbach
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 Todd Bollenbach was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1997. Christopher had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 30, 2017 - June 13, 2018
ASCENT CAPITAL ADVISORS (AMERICA) LLC
June 7, 2011 - July 31, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 3, 2011 - July 31, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 1, 2008 - June 7, 2011
UBS FINANCIAL SERVICES INC.
September 30, 2008 - June 7, 2011
UBS FINANCIAL SERVICES INC.
November 7, 2005 - October 16, 2008
CITIGROUP GLOBAL MARKETS INC.
October 21, 2005 - October 16, 2008
CITIGROUP GLOBAL MARKETS INC.
October 13, 1997 - July 19, 2000
UBS FINANCIAL SERVICES INC.
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
Series 8
Date: 12/3/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ASCENT CAPITAL ADVISORS (AMERICA) LLC
CRD#: 226540 / SEC#: , 8-69620
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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