Christopher S. Sabosik
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 Scott Sabosik, who also goes by Chris Sabosik, Christopher S Sabosik, Christopher Sabosik, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2001. Christopher had worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 13, 2019 - May 11, 2021
CETERA INVESTMENT ADVISERS LLC
March 12, 2019 - May 11, 2021
CETERA INVESTMENT SERVICES LLC
September 25, 2017 - March 6, 2019
KEY INVESTMENT SERVICES LLC
September 25, 2017 - March 6, 2019
KEY INVESTMENT SERVICES LLC
April 5, 2017 - September 22, 2017
CETERA INVESTMENT ADVISERS LLC
April 5, 2017 - September 22, 2017
CETERA INVESTMENT SERVICES LLC
May 11, 2016 - February 13, 2017
SANTANDER SECURITIES LLC
May 11, 2016 - February 13, 2017
SANTANDER SECURITIES LLC
April 25, 2013 - May 9, 2016
U.S. FINANCIAL ADVISORS
April 25, 2013 - June 7, 2016
LPL FINANCIAL LLC
August 19, 2008 - October 20, 2011
SECURITIES AMERICA, INC.
June 20, 2008 - May 3, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
June 20, 2008 - May 3, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
March 20, 2007 - June 24, 2008
WELLS FARGO CLEARING SERVICES, LLC
December 17, 2003 - June 24, 2008
WELLS FARGO CLEARING SERVICES, LLC
September 25, 2001 - December 11, 2003
EDWARD JONES
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
Current 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.
