Christopher R. Walton
Professional summary
Christopher R Walton, who also goes by Chris Walton, Christopher Roderick Walton Sr, Christopher Walton, Christopher Roderick Walton, is a registered financial advisor currently at ASCENSUS INVESTMENT ADVISORS, LLC located in Litchfield Park, Arizona and ASCENSUS BROKER DEALER SERVICES, LLC located in Dresher, Pennsylvania.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Christopher has worked at 17 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Christopher R Walton's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 6, 2023 - Present
ASCENSUS INVESTMENT ADVISORS, LLC
September 7, 2023 - Present
ASCENSUS BROKER DEALER SERVICES, LLC
Office #1: 200 Dryden Road, Dresher, PA 19025June 24, 2013 - April 24, 2015
ADP BROKER-DEALER, INC.
June 20, 2013 - June 25, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 19, 2013 - June 25, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 30, 2012 - February 22, 2013
INDEPENDENT FINANCIAL PARTNERS
April 17, 2012 - February 20, 2013
LPL FINANCIAL LLC
April 9, 2009 - April 18, 2012
VALIC FINANCIAL ADVISORS, INC.
March 2, 2009 - April 18, 2012
VALIC FINANCIAL ADVISORS, INC.
September 16, 2008 - March 5, 2009
ALLSTATE FINANCIAL SERVICES, LLC
January 1, 2008 - September 17, 2008
WELLS FARGO CLEARING SERVICES, LLC
August 21, 2006 - January 3, 2008
A. G. EDWARDS & SONS, INC.
November 17, 2005 - September 1, 2006
OSAIC SERVICES, INC.
November 17, 2005 - September 1, 2006
OSAIC SERVICES, INC.
August 10, 2004 - December 2, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 10, 2004 - December 2, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 22, 2004 - July 20, 2004
HARRISDIRECT LLC
January 22, 2004 - July 20, 2004
HARRISDIRECT LLC
September 16, 2003 - January 16, 2004
BANC ONE SECURITIES CORPORATION
September 16, 2003 - January 16, 2004
BANC ONE SECURITIES CORPORATION
January 7, 2003 - May 13, 2003
EDWARD JONES
February 12, 2001 - January 6, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 25, 2001 - January 6, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 20, 1998 - January 10, 2001
RECOM SECURITIES, INC.
July 8, 1997 - July 28, 1997
MILLS FINANCIAL SERVICES, INC.
June 26, 1996 - August 2, 1996
CHATFIELD DEAN & CO., INC.
Primary Firm SEC Registration
ASCENSUS INVESTMENT ADVISORS, LLC
CRD#: 120632 / SEC#: 801-61492
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/11/2023)
(10/6/2023)
Exams
Series 7TO
Date: 9/7/2023
General Securities Representative ExaminationFINRA
Current Firm
ASCENSUS INVESTMENT ADVISORS, LLC
CRD#: 120632 / SEC#: 801-61492
Contact information
SEC notice filing (48 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 43 |
| AUM (Assets Under Management) | $ 11,649,896,048 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/29/2024 | ||
| 01/30/2024 | ||
| 01/26/2023 |
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.
