Christopher W. Rowland
Professional summary
Christopher William Rowland was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Christopher is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Christopher had worked at 3 firms, which includes LEGACY FINANCIAL SERVICES INC., INVESTORS SECURITY COMPANY INC., TRANSAMERICA FINANCIAL ADVISORS LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 28, 1997 - October 15, 1999
LEGACY FINANCIAL SERVICES, INC.
August 16, 1996 - October 9, 1997
INVESTORS SECURITY COMPANY, INC.
February 2, 1994 - June 27, 1996
TRANSAMERICA FINANCIAL ADVISORS, LLC
State Registrations and Notice Filings
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Exams
Current Firm
LEGACY FINANCIAL SERVICES, INC.
CRD#: 38697 / SEC#: , 8-48360
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
| Civil Event | 1 |
| Arbitration | 3 |
Red Flags
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