Christopher J. Orville
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 James Orville, who also goes by Chris Orville, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1996. Christopher had worked at 8 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 2018 - June 26, 2020
USAA INVESTMENT SERVICES COMPANY
July 11, 2014 - January 8, 2018
USAA FINANCIAL PLANNING SERVICES
July 7, 2014 - June 22, 2020
USAA FINANCIAL ADVISORS, INC.
January 12, 2011 - June 18, 2014
VALIC FINANCIAL ADVISORS, INC.
November 30, 2010 - June 18, 2014
VALIC FINANCIAL ADVISORS, INC.
December 16, 2009 - December 1, 2010
EMPOWER FINANCIAL SERVICES, INC.
November 28, 2006 - November 4, 2009
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
December 6, 2004 - October 26, 2005
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
August 14, 2002 - December 3, 2004
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
January 8, 1998 - December 6, 2004
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
March 13, 1996 - December 31, 1997
LINCOLN FINANCIAL DISTRIBUTORS, INC.
Primary Firm SEC Registration
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
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
Series 7TO
Date: 12/22/2022
General Securities Representative ExaminationCurrent Firm
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USAA INVESTMENT CORPORATION (PARENT CO.) | SHAREHOLDER | |
| BEALL, KEVIN DOUGLAS | VICE PRESIDENT, DIRECTOR | 4202452 |
| CARTER, BRANDON DANE | DIRECTOR, CHAIRMAN OF THE BOARD | 2939393 |
| ECK, FRANK THOMAS IV | SECRETARY | 7979835 |
| FLORES, JENNIFER MARGRET | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4175069 |
| HANKS, KARE ELIZABETH | DIRECTOR, VICE PRESIDENT | 2883762 |
| MUIR, JAMES DYER | CHIEF COMPLIANCE OFFICER | 2801996 |
| PEREZ-ROSSELLO, MADELINE IVETTE | ASSISTANT VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 4033239 |
| STORK, MARY ELIZABETH | DIRECTOR | 2960253 |
| WHITE, WILLIAM SWEENEY | PRESIDENT, VICE-CHAIRMAN, DIRECTOR | 4843743 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 4 |
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.
