Christopher C. Rowe
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 Carter Rowe, who also goes by Chritopher Carter Rowe, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1997. Christopher had worked at 8 firms and has passed the Series 65, Series 63 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
August 1, 2014 - October 13, 2017
AVALON
June 10, 2004 - October 7, 2004
J.P. TURNER & COMPANY, L.L.C.
July 31, 2001 - June 16, 2004
MCGINN, SMITH & CO., INC.
May 31, 2001 - July 30, 2001
PAULSON INVESTMENT COMPANY LLC
May 3, 2000 - May 30, 2001
MERCER PARTNERS INCORPORATED
August 18, 1999 - May 24, 2000
HD BROUS & CO., INC.
April 28, 1997 - September 30, 1999
LCP CAPITAL CORP.
April 5, 1997 - May 2, 1997
NORTHEAST SECURITIES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
AVALON
CRD#: 168033 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 111 |
| AUM (Assets Under Management) | $ 23,909,183 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
