Christopher W. Oster
Professional summary
Christopher William Oster was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Christopher William Oster, who also goes by Christopher W Oster, was a registered financial advisor .
Christopher is a previously registered financial advisor and started their career in finance in 2003. Christopher had worked at 6 firms and has passed the 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
January 24, 2011 - April 29, 2011
PRINCIPAL FUNDS DISTRIBUTOR, INC.
November 24, 2009 - October 5, 2010
U.S. BANCORP INVESTMENTS, INC.
November 19, 2009 - October 5, 2010
U.S. BANCORP INVESTMENTS, INC.
May 2, 2009 - October 23, 2009
CHASE INVESTMENT SERVICES CORP.
May 2, 2009 - October 23, 2009
CHASE INVESTMENT SERVICES CORP.
June 1, 2007 - May 2, 2009
WAMU INVESTMENTS, INC.
June 1, 2007 - May 2, 2009
WAMU INVESTMENTS, INC.
September 15, 2006 - December 20, 2006
A. G. EDWARDS & SONS, INC.
August 31, 2006 - December 20, 2006
A. G. EDWARDS & SONS, INC.
September 8, 2003 - October 7, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
PRINCIPAL FUNDS DISTRIBUTOR, INC.
CRD#: 43261 / SEC#: , 8-50200
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | OWNER | |
| BERG, JOHN THOMAS | DIRECTOR | 7973551 |
| CLINES, SEAN THOMAS | CHIEF FINANCIAL OFFICER | 3055601 |
| DESSOUKI, RAMONA HIATT | CHIEF MARKETING OFFICER | 7812577 |
| HILL, TIMOTHY ALLEN | NATIONAL SALES MANAGER/DIRECTOR | 2317289 |
| HOESKE, DINA ROMEO | SENIOR DIRECTOR - FUND SHAREHOLDER SERVICES | 2704646 |
| MURRAY, MICHAEL FRANCIS | DIRECTOR | 2074275 |
| SCHOLTEN, MICHAEL JOSEPH | PRINCIPAL OPERATIONS OFFICER | 6388259 |
| STOCKMAN, MICHELLE RENEE | CHIEF COMPLIANCE OFFICER | 5010490 |
| WONG, BRANT K | PRESIDENT/DIRECTOR (CHAIRMAN) | 5093714 |
Red Flags
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