Christopher J. Berens
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 Berens, AIF® was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1994. Christopher had worked at 4 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2004 - September 14, 2012
ASSOCIATED INVESTMENT SERVICES, INC.
September 14, 2004 - September 14, 2012
ASSOCIATED INVESTMENT SERVICES, INC.
July 30, 2002 - April 30, 2003
ROBERT W. BAIRD & CO. INCORPORATED
July 30, 2002 - April 30, 2003
ROBERT W. BAIRD & CO. INCORPORATED
September 3, 1998 - August 28, 2002
BANC ONE SECURITIES CORPORATION
March 13, 1998 - August 28, 2002
BANC ONE SECURITIES CORPORATION
April 4, 1994 - October 2, 1995
M&I FINANCIAL ADVISORS, INC
Primary Firm SEC Registration
ASSOCIATED INVESTMENT SERVICES, INC.
CRD#: 1464 / SEC#: 801-71639, 8-99
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
Current Firm
ASSOCIATED INVESTMENT SERVICES, INC.
CRD#: 1464 / SEC#: 801-71639, 8-99
Contact information
SEC notice filing (19 States and Territories)
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ASSOCIATED TRUST COMPANY, N.A. | SOLE SHAREHOLDER | |
| ARNOLD, ANDREW JAMES | DIRECTOR, TREASURER | 7744204 |
| BIESE, JUSTIN MICHAEL | PRINCIPAL, FINANCIAL REPORTING | 8134423 |
| CRAVILLION, BETH ANN | DIRECTOR OF SUPPORT SERVICES | 4770231 |
| DELOYE, DENNIS MICHAEL | DIRECTOR, BOARD OF DIRECTORS | 7555524 |
| HLADIO, JAYNE CLARA | DIRECTOR, BOARD OF DIRECTORS | 2497546 |
| HOCHHOLZER, MICHAEL ROBERT | DIRECTOR, BOARD OF DIRECTORS | 2878493 |
| KUIPERS, MICHAEL DAVID | DIRECTOR, PRESIDENT & CEO | 2436388 |
| PECORA, ANTHONY PHILIP | CHIEF COMPLIANCE OFFICER | 2975013 |
| SORENSON, HEATH WILLIAM | CHAIRMAN, BOARD OF DIRECTORS | 4528655 |
| ZANDPOUR, STEVEN SIA | DIRECTOR, BOARD OF DIRECTORS | 7174720 |
Regulatory assets under management
| Total Number of Accounts | 5,050 |
| AUM (Assets Under Management) | $ 1,000,633,569 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/15/2025 | ||
| 09/26/2024 | ||
| 08/21/2023 | ||
| 10/19/2022 |
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.
