Christopher J. Urner
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 John Urner, who also goes by Chris John Urner, Christopher Urner, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1992. Christopher had worked at 6 firms and has passed the Series 63, Series 66, Series 3, Series 55, Series 7, Series 27, Series 4, Series 10, Series 9, Series 24 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
September 10, 2013 - September 22, 2014
DINOSAUR FINANCIAL GROUP, L.L.C
February 9, 2005 - March 29, 2011
WITENBERG INVESTMENT COMPANIES, INC.
April 2, 2001 - February 3, 2005
WITENBERG INVESTMENT COMPANIES, INC.
August 6, 1996 - June 13, 2003
CARLIN EQUITIES, LLC
October 11, 1994 - February 13, 1996
NATIONAL CLEARING CORP.
October 9, 1992 - October 5, 1994
AMERIPRISE ADVISOR SERVICES, INC.
June 10, 1992 - August 26, 1992
CHATFIELD DEAN & CO., 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 55
Date: 4/15/1999
Limited Representative-Equity Trader ExamSeries 8
Date: 12/6/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
DINOSAUR FINANCIAL GROUP, L.L.C
CRD#: 104446 / SEC#: , 8-52908
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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