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CK

Christopher A. Kramer

EDGEWATER CAPITAL
Santa Ana, CA 92707
Some features on this profile are disabled
CRD#: 4352074
CK

Professional summary

Christopher Alexander Kramer is a registered financial professional currently at EDGEWATER CAPITAL, LLC located in Santa Ana, California.

Christopher is registered as a RR (Registered Representative) and started their career in finance in 2002. Christopher has worked at 2 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 14 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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 Alexander Kramer'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

April 16, 2004 - Present

EDGEWATER CAPITAL, LLC

Office #1: 6 Hutton Centre Drive #860, Santa Ana, CA 92707Office #2: 6 Hutton Centre Drive 860, South Coast Metro, CA 92707
BD
CRD#: 128898
Santa Ana, CA
Past

February 1, 2002 - September 12, 2003

ASHTON CAPITAL MANAGEMENT, INC.

BD
CRD#: 26502
SAN DIEGO, CA

State Registrations and Notice Filings

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

RR
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

RR
California
(4/19/2004)

Exams

State Security Law Exam
RR
Series 63
Date: 2/21/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/31/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/23/2002
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

EC
EDGEWATER CAPITAL, LLC
EDGEWATER CAPITAL, LLC

CRD#: 128898 / SEC#: , 8-66184

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

Main Address
6 Hutton Centre Drive #860, Santa Ana, CA 92707
Mailing Address
6 Hutton Centre Drive #860, Santa Ana, CA 92707
Phone number
(714) 380-3300
Established
California since 08/18/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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Documents

Direct owners and executive officers

NamePositionCRD#
KRAMER, CHRISTOPHER ALEXANDERPRESIDENT, CCO, CFO4352074

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

EDGEWATER CAPITAL, LLC

CRD#: 128898Santa Ana, CA 92707

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