Christopher T. Gross
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 Todd Gross, who also goes by Chris Gross, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1996. Christopher had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 7, 2018 - March 21, 2019
WESTPARK CAPITAL, INC.
June 7, 2018 - June 3, 2025
WESTPARK CAPITAL, INC.
May 3, 2016 - December 31, 2017
ARETE WEALTH ADVISORS, LLC
January 22, 2016 - June 1, 2018
ARETE WEALTH MANAGEMENT, LLC
October 1, 2015 - December 28, 2015
RAYMOND JAMES & ASSOCIATES, INC.
September 30, 2015 - December 28, 2015
RAYMOND JAMES & ASSOCIATES, INC.
January 23, 2014 - September 30, 2015
VFG SECURITIES, INC.
January 14, 2014 - February 3, 2014
DRIVEWEALTH INSTITUTIONAL LLC
April 24, 2013 - December 23, 2013
VFG ADVISORS, INC.
September 20, 2011 - December 23, 2013
VFG SECURITIES, INC.
November 4, 2010 - September 14, 2011
XML SECURITIES
July 15, 2009 - November 1, 2010
DREXEL HAMILTON, LLC
February 24, 2006 - July 14, 2009
MADISON AVENUE SECURITIES, LLC
June 23, 2003 - January 14, 2005
SUNAMERICA SECURITIES, INC.
February 16, 2001 - July 21, 2003
UBS FINANCIAL SERVICES INC.
February 16, 2001 - July 21, 2003
UBS FINANCIAL SERVICES INC.
October 11, 1999 - February 23, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 13, 1996 - October 12, 1999
PRUDENTIAL EQUITY GROUP, LLC
May 1, 1996 - May 23, 1996
SUNAMERICA SECURITIES, INC.
Primary Firm SEC Registration
WESTPARK CAPITAL, INC.
CRD#: 39914 / SEC#: 801-108275, 8-48898
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
WESTPARK CAPITAL, INC.
CRD#: 39914 / SEC#: 801-108275, 8-48898
Contact information
SEC notice filing (21 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 234 |
| AUM (Assets Under Management) | $ 47,569,260 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
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.
