Chris S. Kramer
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.
Chris Shannon Kramer, who also goes by Chris Comfort, Chris S Comfort-kramer, Chris S Kramer, was a registered financial professional .
Chris is a previously registered financial professional and started their career in finance in 1997. Chris had worked at 10 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 55, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 2018 - August 10, 2020
CETERA INVESTMENT ADVISERS LLC
October 4, 2018 - August 10, 2020
CETERA INVESTMENT SERVICES LLC
August 1, 2016 - March 8, 2018
SCOTTRADE INVESTMENT MANAGEMENT
August 8, 2014 - March 8, 2018
SCOTTRADE, INC.
June 6, 2011 - August 19, 2014
TD AMERITRADE, INC.
June 6, 2011 - August 19, 2014
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
June 3, 2011 - August 19, 2014
TD AMERITRADE, INC.
December 12, 2008 - May 19, 2011
WADDELL & REED
October 9, 2008 - May 19, 2011
WADDELL & REED
March 11, 2008 - June 30, 2008
FIS BROKERAGE & SECURITIES SERVICES LLC
June 2, 2000 - December 14, 2007
A. G. EDWARDS & SONS, INC.
April 3, 1997 - June 26, 2000
NATIXIS SECURITIES AMERICAS LLC
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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: 3/28/2024
General Securities Representative ExaminationSeries 55
Date: 11/18/1998
Limited Representative-Equity Trader ExamCurrent Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
