Christopher D. Chance
Professional summary
Christopher Dean Chance is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Alpharetta, Georgia and CETERA ADVISORS LLC located in Alpharetta, Georgia.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Christopher has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Dean Chance's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 12, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 5900 Windward Parkway Suite 120, Alpharetta, GA 30005September 8, 2022 - Present
CETERA ADVISORS LLC
Office #1: 5900 Windward Parkway Suite 120, Alpharetta, GA 30005June 5, 2020 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
June 4, 2020 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
October 20, 2015 - June 9, 2020
WELLS FARGO CLEARING SERVICES, LLC
October 9, 2015 - June 9, 2020
WELLS FARGO CLEARING SERVICES, LLC
June 26, 2013 - October 13, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 21, 2013 - October 13, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 29, 2009 - June 25, 2013
TRUIST INVESTMENT SERVICES, INC.
April 21, 2009 - June 25, 2013
TRUIST INVESTMENT SERVICES, INC.
February 7, 2007 - April 21, 2009
WELLS FARGO CLEARING SERVICES, LLC
September 5, 2003 - April 21, 2009
WELLS FARGO CLEARING SERVICES, LLC
November 3, 1994 - September 2, 2003
EDWARD JONES
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/8/2022)
(9/8/2022)
(9/8/2022)
(11/12/2020)
(9/8/2022)
(9/8/2022)
(9/8/2022)
(9/8/2022)
(9/8/2022)
(9/8/2022)
(1/4/2023)
(9/8/2022)
Exams
FINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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