Christopher E. Leclair
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 Edward Leclair, who also goes by Christopher E Leclair, Christopher Leclair, Chris Leclair, Christopher Edward Leclair, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2003. Christopher had worked at 9 firms and has passed the Series 66, 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
September 20, 2019 - January 27, 2020
FISHER INVESTMENTS
November 3, 2017 - September 25, 2019
RBC CAPITAL MARKETS, LLC
November 3, 2017 - September 25, 2019
RBC CAPITAL MARKETS, LLC
August 17, 2017 - October 25, 2017
AUGUSTAR DISTRIBUTORS, INC.
September 1, 2016 - April 18, 2017
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
June 15, 2016 - August 24, 2016
RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC
October 16, 2014 - May 2, 2017
RUSSELL INVESTMENTS
October 16, 2014 - June 15, 2016
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
February 19, 2013 - October 3, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 19, 2013 - October 3, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 21, 2012 - February 8, 2013
RBC CAPITAL MARKETS, LLC
December 12, 2006 - February 8, 2013
RBC CAPITAL MARKETS, LLC
January 25, 2005 - December 12, 2006
SECURIAN FINANCIAL SERVICES, INC.
June 30, 2003 - October 19, 2004
PRINCIPAL SECURITIES, INC.
Primary Firm SEC Registration
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
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
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 360,116 |
| AUM (Assets Under Management) | $ 298,729,428,900 |
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.
