Christopher R. Price
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 Robin Price, who also goes by Christopher Robin Price, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1992. Christopher had worked at 11 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7 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
May 18, 2020 - April 27, 2022
LPL FINANCIAL LLC
April 30, 2020 - April 27, 2022
LPL FINANCIAL LLC
May 27, 2016 - January 23, 2020
BANCWEST INVESTMENT SERVICES, INC.
January 6, 2016 - January 23, 2020
BANCWEST INVESTMENT SERVICES, INC.
January 5, 2015 - January 29, 2016
TRIUMPH WEALTH ADVISORS, INC.
July 7, 2011 - January 29, 2016
TAYLOR CAPITAL MANAGEMENT INC.
September 21, 2009 - October 18, 2010
NEXT FINANCIAL GROUP, INC.
September 27, 2006 - May 5, 2008
J.P. MORGAN SECURITIES INC.
July 1, 2006 - May 5, 2008
J.P. MORGAN SECURITIES INC.
October 25, 2005 - September 27, 2006
BANC ONE SECURITIES CORPORATION
October 14, 2005 - July 1, 2006
BANC ONE SECURITIES CORPORATION
August 7, 2002 - October 18, 2004
U.S. BANCORP INVESTMENTS, INC.
January 31, 2002 - October 18, 2004
U.S. BANCORP INVESTMENTS, INC.
January 22, 1999 - January 4, 2002
LPL FINANCIAL LLC
September 27, 1994 - December 9, 1998
BA INVESTMENT SERVICES, INC.
January 28, 1993 - August 5, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 9, 1992 - January 6, 1993
CHELSEA STREET SECURITIES, INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
