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Christopher V. Wendt

Some features on this profile are disabled
CRD#: 2754325
CW

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 V Wendt, who also goes by Chris Wendt, Christopher Vaden Wendt, Christopher Wendt, was a registered financial professional .

Christopher is a previously registered financial professional and started their career in finance in 1997. Christopher had worked at 18 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 55, Series 7, Series 24, Series 4 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chris Wendt | Christopher Vaden Wendt | Christopher Wendt

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 8, 2021 - June 23, 2023

ACORNS SECURITIES, LLC

BD
CRD#: 168172
IRVINE, CA
Past

February 23, 2021 - September 27, 2021

QUASAR DISTRIBUTORS, LLC

BD
CRD#: 103848
Omaha, NE
Past

February 23, 2021 - September 27, 2021

NORTHERN FUNDS DISTRIBUTORS, LLC

BD
CRD#: 45943
Omaha, NE
Past

February 23, 2021 - September 27, 2021

IMST DISTRIBUTORS, LLC

BD
CRD#: 130745
Omaha, NE
Past

February 23, 2021 - September 27, 2021

FUNDS DISTRIBUTOR, LLC

BD
CRD#: 7174
Omaha, NE
Past

February 23, 2021 - September 27, 2021

FORESIDE GLOBAL SERVICES, LLC

BD
CRD#: 147382
Omaha, NE
Past

February 23, 2021 - September 27, 2021

FORESIDE FUNDS DISTRIBUTORS LLC

BD
CRD#: 31334
Omaha, NE
Past

February 23, 2021 - September 27, 2021

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
Omaha, NE
Past

February 23, 2021 - September 27, 2021

FORESIDE FINANCIAL SERVICES, LLC

BD
CRD#: 148477
Omaha, NE
Past

February 23, 2021 - September 27, 2021

FORESIDE DISTRIBUTION SERVICES, L.P.

BD
CRD#: 15634
Omaha, NE
Past

February 23, 2021 - September 27, 2021

COMPASS DISTRIBUTORS, LLC

BD
CRD#: 172662
Omaha, NE
Past

March 22, 2011 - January 22, 2021

NORTHERN LIGHTS DISTRIBUTORS, LLC

BD
CRD#: 126159
ELKHORN, NE
Past

July 19, 2006 - February 11, 2011

QA3 FINANCIAL CORP.

BD
CRD#: 14754
OMAHA, NE
Past

April 22, 2006 - June 19, 2006

TD AMERITRADE, INC.

BD
CRD#: 7870
OMAHA, NE
Past

January 2, 2002 - April 22, 2006

TD AMERITRADE CLEARING, INC.

BD
CRD#: 5633
OMAHA, NE
Past

November 15, 2001 - December 31, 2001

J.P. SECURITIES, INC.

BD
CRD#: 36559
BELLEVUE, NE
Past

September 19, 2001 - November 12, 2001

NEBRASKA HUDSON COMPANY, INC.

BD
CRD#: 27501
OMAHA, NE
Past

November 14, 1997 - December 31, 2001

ACCUTRADE INC.

BD
CRD#: 13564
BELLEVUE, NE

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/11/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 3/7/2003
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 11/12/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/12/2004
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 5/23/2001
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 4/9/2001
Municipal Securities Principal Examination

Current Firm

AS
ACORNS SECURITIES, LLC
ACORNS SECURITIES, LLC

CRD#: 168172 / SEC#: , 8-69294

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
5300 California Avenue, Irvine, CA 92617
Mailing Address
5300 California Avenue, Irvine, CA 92617
Phone number
(855) 739-2859
Established
Delaware since 04/09/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ACORNS GROW INCORPORATEDMANAGING MEMBER
CHISOLM, DENISECHIEF COMPLIANCE OFFICER2743307
HARPER, DEREKCONTROLLER, FINOP6402693
SULLIVAN, BEAUCHIEF EXECUTIVE OFFICER5151289

Disclosures

Regulatory Event2

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.

Company Information

ACORNS SECURITIES, LLC

CRD#: 168172

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