Christopher R. Grubbs
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 Ryan Grubbs was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1999. Christopher had worked at 7 firms and has passed the Series 63, Series 99TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 15, 2023 - August 22, 2025
AEL FINANCIAL SERVICES, LLC
September 30, 2013 - August 3, 2023
SYMETRA SECURITIES, INC.
March 21, 2011 - September 30, 2013
SIGNATOR FINANCIAL SERVICES, INC.
May 26, 2010 - December 31, 2010
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
May 5, 2009 - November 23, 2009
NYLIFE DISTRIBUTORS LLC
July 5, 2001 - March 17, 2009
DIRECTED SERVICES LLC
October 13, 1999 - June 5, 2001
CAPITAL BROKERAGE CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
AEL FINANCIAL SERVICES, LLC
CRD#: 300285 / SEC#: , 8-70298
Contact information
FINRA licenses (37 States and Territories)
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
