Christina M. Hartke
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.
Christina Marie Hartke, who also goes by Christina Marie Henderson, was a registered financial professional .
Christina is a previously registered financial professional and started their career in finance in 2002. Christina had worked at 5 firms and has passed the Series 65, Series 66 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
May 15, 2017 - May 31, 2018
CAERUS INVESTMENT ADVISORS, LLC
September 21, 2015 - November 26, 2024
SHELTER WEALTH STRATEGIES, LLC
April 27, 2004 - March 31, 2009
O'KEEFE SHAW & CO., INC.
June 28, 2002 - February 26, 2004
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
January 14, 2002 - May 2, 2002
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
CAERUS INVESTMENT ADVISORS, LLC
CRD#: 171716 / SEC#: 801-110401
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
CAERUS INVESTMENT ADVISORS, LLC
CRD#: 171716 / SEC#: 801-110401
Contact information
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 127 |
| AUM (Assets Under Management) | $ 194,550,948 |
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.
