Christopher J. Roos

CAPITAL ONE SECURITIES

NEW ORLEANS, LA 70170

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CRD#: 4153906

Professional summary

Christopher James Roos is a registered financial professional currently at CAPITAL ONE SECURITIES, INC. located in New Orleans, Louisiana.

Christopher is registered as a RR (Registered Representative) and started their career in finance in 2000. Christopher has worked at 4 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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) - BD

Click below to view Christopher James Roos's CRS (Customer Relationship Summary).

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

Current

May 8, 2008 - Present

CAPITAL ONE SECURITIES, INC.

Office #1: 201 St. Charles Avenue Suite 1830, New Orleans, LA 70170

CRD#: 44158

NEW ORLEANS, LA

Past

February 21, 2006 - May 22, 2008

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

MANDEVILLE, LA

Past

March 31, 2004 - February 21, 2006

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

December 3, 2002 - April 2, 2004

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

NEW ORLEANS, LA

Past

May 30, 2000 - April 2, 2004

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(1/14/2023)

Connecticut
(5/8/2008)

Florida
(1/9/2017)

Illinois
(1/9/2017)

Louisiana
(5/8/2008)

Maryland
(1/9/2017)

Massachusetts
(5/8/2008)

New York
(5/8/2008)

Pennsylvania
(1/9/2017)

Texas
(12/9/2014)

Virginia
(12/3/2013)

Exams

State Security Law Exam

IAR

Series 66

Date: 8/21/2000

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 12/7/2000

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/27/2000

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

CAPITAL ONE SECURITIES, INC.

CAPITAL ONE SECURITIES, INC. | SOUTHCOAST CAPITAL L.L.C. | HIBERNIA SOUTHCOAST CAPITAL, INC. | CAPITAL ONE SOUTHCOAST, INC | CAPITAL ONE SOUTHCOAST

CRD#: 44158 / SEC#: , 8-50561

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

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Contact information

Main Address

201 St. Charles Avenue Suite 1830, New Orleans, LA 70170

Mailing Address

201 St. Charles Avenue Suite 1830, New Orleans, LA 70170

Phone number

(504) 533-7377

Established

Louisiana since 04/01/2000

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (12 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
CAPITAL ONE FINANCIAL CORPORATION	100% SHAREHOLDER
GIBNEY, JOSEPH DONOUGH	DIRECTOR	3117394
HALPRIN, GABRIELLE BAILLEUX	CHIEF FINANCIAL OPERATIONS OFFICER (FINOP)	5087341
JOHNSON, RUSSELL ALAN	DIRECTOR	2785704
KUCERA, DAVID JOHN	DIRECTOR	2598213
MULLIGAN, ROBERT	CHIEF COMPLIANCE OFFICER	1584973
NAKAMURA, SEIJI PETER	DIRECTOR	2561992
PORPHY, JEFFREY R	DIRECTOR	4107535
TULIP, STEVEN ANDREW	PRESIDENT AND DIRECTOR	2540149

Disclosures

Regulatory Event

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.

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Christopher J. Roos

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Christopher James Roos's CRS (Customer Relationship Summary).

Certified licenses

Experience

CITIGROUP GLOBAL MARKETS INC.

LEGG MASON WOOD WALKER, INCORPORATED

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/21/2000

SIE

Date: 10/1/2018

Series 31

Date: 12/7/2000

Series 7

Date: 5/27/2000

FINRA

Nasdaq Stock Market

Current Firm

CAPITAL ONE SECURITIES, INC.

Contact information

FINRA licenses (12 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CAPITAL ONE SECURITIES, INC.

TRUST BUT VERIFY

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