Christopher S. Gee

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CRD#: 4644493

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 Stephen Gee, who also goes by Chris Gee, Christopher S Gee, was a registered financial professional .

Christopher is a previously registered financial professional and started their career in finance in 2003. Christopher had worked at 12 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Chris Gee | Christopher S Gee

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.

HUNTERRIDGE CONTRACTING, LLC POSITION: Chief Financial Officer, Estimator, Electrician NATURE: Construction INVESTMENT RELATED: No NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 40 START DATE: 01/02/2020 ADDRESS: 1901 Carolana Circle, Hixson TN 37343, United States DESCRIPTION: This is a small business owned by a friend who needs help operating his company organizationally. Most of my activities will involve estimating jobs andgeneral bookkeeping, but he's growing fast and I will probably help with jobs on-site, too. As it stands, I have about 2-3 hours per day ofmanagerial/organizational duties during markethours, but always with access to myPrudential phone and laptopfor client service.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 11, 2019 - May 24, 2022

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

Chattanooga, TN

Past

March 28, 2019 - May 24, 2022

PRUCO SECURITIES, LLC.

CRD#: 5685

Chattanooga, TN

Past

July 17, 2017 - January 11, 2019

MADISON AVENUE SECURITIES, LLC

CRD#: 23224

Knoxville, TN

Past

February 10, 2017 - January 28, 2019

BLUE RIDGE WEALTH PLANNERS

RIA

CRD#: 285347

KNOXVILLE, TN

Past

February 8, 2017 - July 17, 2017

G.F. INVESTMENT SERVICES, LLC

CRD#: 132939

KNOXVILLE, TN

Past

January 21, 2014 - November 10, 2016

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

HIXSON, TN

Past

January 29, 2013 - January 21, 2014

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

HIXSON, TN

Past

January 29, 2013 - November 10, 2016

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

HIXSON, TN

Past

October 19, 2012 - January 23, 2013

EDWARD JONES

RIA

CRD#: 250

HIXSON, TN

Past

October 19, 2012 - January 23, 2013

EDWARD JONES

CRD#: 250

HIXSON, TN

Past

February 15, 2012 - September 20, 2012

LPL FINANCIAL LLC

RIA

CRD#: 6413

CHATTANOOGA, TN

Past

February 14, 2012 - September 20, 2012

LPL FINANCIAL LLC

CRD#: 6413

CHATTANOOGA, TN

Past

February 16, 2010 - February 16, 2012

CUNA BROKERAGE SERVICES, INC.

RIA

CRD#: 13941

CHATTANOOGA, TN

Past

February 12, 2010 - February 16, 2012

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

CHATTANOOGA, TN

Past

March 2, 2009 - July 2, 2009

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

CHATTANOOGA, TN

Past

February 26, 2009 - July 2, 2009

MML INVESTORS SERVICES, LLC

CRD#: 10409

CHATTANOOGA, TN

Past

November 13, 2008 - March 2, 2009

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

CHATTANOOGA, TN

Past

October 22, 2008 - March 2, 2009

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

July 24, 2003 - June 24, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CHATTANOOGA, TN

Past

May 23, 2003 - June 24, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CHATTANOOGA, TN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PRUCO SECURITIES, LLC.

PRUCO SECURITIES CORPORATION | PRUDENTIAL FINANCIAL PLANNING SERVICES | PRUCO SECURITIES, LLC. | PRUCO SECURITIES, LLC

CRD#: 5685 / SEC#: 801-52208, 8-16402

RIA

Registered Investment Advisory firm - SEC (6/28/1996 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/9/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/21/2003

General Securities Representative Examination

Current Firm

PRUCO SECURITIES, LLC.

PRUCO SECURITIES CORPORATION | PRUDENTIAL FINANCIAL PLANNING SERVICES | PRUCO SECURITIES, LLC. | PRUCO SECURITIES, LLC

CRD#: 5685 / SEC#: 801-52208, 8-16402

RIA

Registered Investment Advisory firm - SEC (6/28/1996 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

751 Broad Street, Newark, NJ 07102-3777

Mailing Address

751 Broad Street, Newark, NJ 07102-3777

Phone number

(973) 802-6000

Established

New Jersey since 09/22/2003

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

387

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PRUCO SECURITIES, LLC (3/25/2025)

Direct owners and executive officers

Name	Position	CRD#
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA	SOLE MEMBER
FELICIANO, DEXTER MICHAEL	PRESIDENT	5483537
FLORIO, KELLY NICOLE	ANTI-MONEY LAUNDERING OFFICER	6446272
FONTANO, ANTHONY MICHAEL	ELECTED MANAGER	6852155
HYNES, PATRICK LIAM	CHAIRMAN, ELECTED MANAGER	2748918
PATEL, PARANJ	CHIEF COMPLIANCE OFFICER	4235738
SMIT, ROBERT PHILIP	CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, CONTROLLER, PRINCIPAL OPERATIONS OFFICER	2332366
THOMSEN, JORDAN KARSTEN	CHIEF LEGAL OFFICER	2821664

Disclosures

Regulatory Event	30
Arbitration	13
Bond	2

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/27/2025	Cover Page	Report
12/22/2023	Cover Page	Report
12/22/2023	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

Christopher S. Gee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PRUCO SECURITIES, LLC.

MADISON AVENUE SECURITIES, LLC

BLUE RIDGE WEALTH PLANNERS

G.F. INVESTMENT SERVICES, LLC

CETERA INVESTMENT ADVISERS LLC

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

EDWARD JONES

EDWARD JONES

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CUNA BROKERAGE SERVICES, INC.

CUNA BROKERAGE SERVICES, INC.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/9/2003

SIE

Date: 10/1/2018

Series 7

Date: 5/21/2003

Current Firm

PRUCO SECURITIES, LLC.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Accountant surprise examination report

Red Flags

Company Information

PRUCO SECURITIES, LLC.

TRUST BUT VERIFY

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