Christopher P. Rigney
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 Patrick Rigney was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2004. Christopher had worked at 8 firms and has passed the Series 66, Series 63 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
July 26, 2007 - May 10, 2012
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
July 26, 2007 - June 22, 2012
TD AMERITRADE, INC.
June 25, 2007 - June 22, 2012
TD AMERITRADE, INC.
March 30, 2006 - May 18, 2007
METROPOLITAN LIFE INSURANCE COMPANY
March 30, 2006 - May 18, 2007
MSI FINANCIAL SERVICES, INC.
November 2, 2005 - February 8, 2006
J.P. TURNER & COMPANY, L.L.C.
November 18, 2004 - August 3, 2005
S.W. BACH & COMPANY
August 6, 2004 - November 23, 2004
NATIONAL SECURITIES CORPORATION
May 18, 2004 - June 24, 2004
JOSEPH STEVENS & CO., INC.
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
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
CRD#: 111514 / SEC#: 801-55501
Contact information
Regulatory assets under management
| Total Number of Accounts | 101,875 |
| AUM (Assets Under Management) | $ 15,827,987,428 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/17/2023 | ||
| 12/22/2021 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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