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Christopher Mark Zimmer

CRD# 2462297·Registered 1995 - 2013
Previously Registered: Being a previously registered professional could mean that Christopher 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.

Professional Summary

Christopher Mark Zimmer was a registered financial advisor. Christopher was a previously registered financial professional and started their career in finance 1995 - 2013. Christopher had worked at 10 firms and has passed the Series 65, Series 63, Series 55, Series 31, Series 7, Series 4, Series 53 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

31 years in the financial services industry

Current & Past Employments

WTS PROPRIETARY TRADING GROUP LLC·CRD# 148117
BD
New York, NY
October 11, 2012 - January 14, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
RIA
San Francisco, CA
October 23, 2009 - June 30, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
San Francisco, CA
October 23, 2009 - June 30, 2011
BANC OF AMERICA INVESTMENT SERVICES, INC.·CRD# 16361
RIA
San Francisco, CA
February 8, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.·CRD# 16361
BD
San Francisco, CA
February 8, 2008 - October 23, 2009
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
RIA
Napa, CA
May 29, 2007 - December 18, 2007
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
BD
Napa, CA
May 29, 2007 - December 18, 2007
CITICORP INVESTMENT SERVICES·CRD# 23988
RIA
Napa, CA
August 22, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES·CRD# 23988
BD
Napa, CA
August 22, 2006 - May 29, 2007
IDS LIFE INSURANCE COMPANY·CRD# 6321
BD
Minneapolis, MN
January 15, 2004 - July 3, 2006
AMERIPRISE FINANCIAL SERVICES, LLC·CRD# 6363
BD
Minneapolis, MN
January 15, 2004 - August 14, 2006
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.·CRD# 26506
BD
Minneapolis, MN
October 28, 2002 - January 15, 2004
IDS LIFE INSURANCE COMPANY·CRD# 6321
BD
Minneapolis, MN
March 5, 2001 - October 29, 2002
AMERIPRISE FINANCIAL SERVICES, LLC·CRD# 6363
BD
Minneapolis, MN
March 5, 2001 - October 29, 2002
HUDSON SECURITIES,INC.·CRD# 10467
BD
Jersey City, NJ
April 18, 2000 - October 17, 2000
IDS LIFE INSURANCE COMPANY·CRD# 6321
BD
Minneapolis, MN
January 27, 1999 - April 13, 2000
AMERIPRISE FINANCIAL SERVICES, LLC·CRD# 6363
BD
Minneapolis, MN
January 27, 1999 - April 13, 2000
MORGAN STANLEY DW INC.·CRD# 7556
BD
Purchase, NY
September 20, 1997 - November 30, 1998
IDS LIFE INSURANCE COMPANY·CRD# 6321
BD
Minneapolis, MN
February 6, 1995 - August 29, 1997
AMERIPRISE FINANCIAL SERVICES, LLC·CRD# 6363
BD
Minneapolis, MN
February 6, 1995 - August 29, 1997

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Current Firm

WP
WTS PROPRIETARY TRADING GROUP LLC

WTS PROPRIETARY TRADING GROUP LLC

CRD#: 148117 / SEC#: 8-67986
BD
Terminated by SEC on 03/06/2015

Contact Information

Established

Delaware since 07/09/2008

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
WTS PTG HOLDINGS, LLCOWNER—
CLARK, CHESTER EDMONDCEO2486219
DISCENZA, PETER VINCENT JRCHIEF COMPLIANCE OFFICER4386342
JONES, WILLIAM RUSSELLOPERATIONS MANAGER2948251
LI, XIAOYANFINOP4465893

Disclosures

Regulatory Event

6

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Oct 1997About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 1995About the Series 63 exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Apr 1999

Series 31 — Futures Managed Funds Examination

Passed Oct 1997About the Series 31 exam

Series 7 — General Securities Representative Examination

Passed Feb 1995About the Series 7 exam

Series 4 — Registered Options Principal Examination

Passed Jun 2000About the Series 4 exam

Series 53 — Municipal Securities Principal Examination

Passed Nov 1999About the Series 53 exam

Series 24 — General Securities Principal Examination

Passed Aug 1996About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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