Christian G. Felix
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.
Christian Gustavo Felix was a registered financial professional .
Christian is a previously registered financial professional and started their career in finance in 2011. Christian had worked at 5 firms and has passed the Series 65, Series 66, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 12, 2021 - November 4, 2021
TRANSFORM WEALTH, LLC
October 30, 2017 - July 20, 2018
PRUCO SECURITIES, LLC.
October 4, 2017 - July 20, 2018
PRUCO SECURITIES, LLC.
June 2, 2017 - August 21, 2017
PARK AVENUE SECURITIES LLC
March 28, 2017 - August 21, 2017
PARK AVENUE SECURITIES LLC
April 29, 2016 - November 30, 2016
EQUITABLE ADVISORS, LLC
April 29, 2016 - November 30, 2016
EQUITABLE ADVISORS, LLC
June 24, 2011 - June 2, 2015
UBS FINANCIAL SERVICES INC.
May 23, 2011 - June 2, 2015
UBS FINANCIAL SERVICES INC.
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
Current Firm
TRANSFORM WEALTH, LLC
CRD#: 283403 / SEC#: 801-107796
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,810 |
| AUM (Assets Under Management) | $ 3,377,136,557 |
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.
