Christopher T. Offner
Professional summary
Christopher Thomas Offner is a registered financial advisor currently at WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC located in Plano, Texas.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Christopher has worked at 18 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 9, Series 10 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Thomas Offner's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Christopher Thomas Offner's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 13, 2022 - Present
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
Office #1: 5560 Tennyson Plwy Ste 130 [satellite], Plano, TX 75024September 13, 2022 - Present
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
Office #1: 5560 Tennyson Plwy Ste 130 [satellite], Plano, TX 75024March 23, 2018 - September 15, 2022
EDWARD JONES
March 23, 2018 - September 15, 2022
EDWARD JONES
January 27, 2015 - August 11, 2017
HARTFORD FUNDS
May 6, 2014 - December 31, 2014
HARTFORD FUNDS
May 5, 2014 - August 11, 2017
HARTFORD FUNDS DISTRIBUTORS, LLC
May 7, 2011 - May 14, 2014
MORGAN STANLEY
May 7, 2011 - May 14, 2014
MORGAN STANLEY
July 2, 2009 - April 27, 2011
UBS FINANCIAL SERVICES INC.
June 11, 2009 - April 27, 2011
UBS FINANCIAL SERVICES INC.
June 3, 2009 - June 17, 2009
TD AMERITRADE, INC.
February 25, 2008 - February 26, 2009
COREBRIDGE CAPITAL SERVICES, INC.
November 13, 2007 - February 19, 2008
TRUIST INVESTMENT SERVICES, INC.
June 5, 2007 - November 6, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
January 3, 2007 - June 7, 2007
FORESIDE FUND SERVICES, LLC
August 4, 2006 - December 31, 2006
ALPS DISTRIBUTORS, INC.
November 1, 2005 - July 20, 2006
GLOBAL ATLANTIC DISTRIBUTORS, LLC
December 11, 2002 - October 25, 2005
COREBRIDGE CAPITAL SERVICES, INC.
February 2, 2001 - January 15, 2003
FAM DISTRIBUTORS, INC.
May 20, 1999 - October 9, 2000
DWS DISTRIBUTORS, INC.
July 2, 1998 - June 15, 1999
AVANTAX INVESTMENT SERVICES, INC.
October 25, 1993 - May 25, 1994
METROPOLITAN LIFE INSURANCE COMPANY
October 25, 1993 - May 25, 1994
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
CRD#: 11025 / SEC#: 801-57434, 8-28721
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/30/2022)
(11/30/2022)
(11/30/2022)
(10/14/2022)
(11/30/2022)
(11/30/2022)
(7/23/2025)
(11/30/2022)
(9/13/2022)
(11/30/2022)
(7/23/2025)
(9/10/2024)
(11/30/2022)
(11/30/2022)
(11/30/2022)
(8/29/2023)
(11/30/2022)
(4/23/2024)
(11/30/2022)
(11/30/2022)
(9/13/2022)
(11/30/2022)
(11/30/2022)
(9/13/2022)
(12/1/2022)
(11/9/2022)
(10/14/2025)
(9/13/2022)
(11/16/2022)
(9/13/2022)
(9/13/2022)
(11/30/2022)
(3/2/2023)
(11/30/2022)
(11/30/2022)
Exams
FINRA
Current Firm
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
CRD#: 11025 / SEC#: 801-57434, 8-28721
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC | SOLE MEMBER | |
| CRAVEN, JAMES J | BOARD OF MANAGERS | 4323533 |
| GINDI, SOL | BOARD OF MANAGERS | 4903526 |
| KARANIK, ERIK ANTHONY | CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS | 2260890 |
| LACEY, PAUL | PRINCIPAL OPERATIONS OFFICER/CONTROL PRINCIPAL | 5616656 |
| MARKMANN, DAVID FRANZ | DESIGNATED TEXAS OFFICER | 2637778 |
| PATEL, RAKESH | CHIEF FINANCIAL OFFICER | 5385585 |
| SANKOVICH, PAUL CAMERON | CHIEF COMPLIANCE OFFICER | 2475029 |
| TA, KIMBERLY CROWDER | BOARD OF MANAGERS/CONTROL PRINCIPAL | 4717506 |
| TYERS, JOHN R | PRESIDENT/BOARD OF MANAGERS/CONTROL PRINCIPAL | 2632380 |
Regulatory assets under management
| Total Number of Accounts | 401,726 |
| AUM (Assets Under Management) | $ 197,360,196,619 |
Disclosures
| Regulatory Event | 35 |
| Arbitration | 39 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 12/11/2023 | ||
| 02/17/2023 |
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.
Company Information
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
CRD#: 11025Plano, TX 75024TRUST BUT VERIFY
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