Christopher Snooks
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 Snooks, who also goes by Christopher S Snooks, Christopher Shawn Snooks, Christopher Snooks, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2004. Christopher had worked at 12 firms and has passed the Series 66, Series 6TO, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 26, 2026 - August 7, 2026
OPPENHEIMER & CO. INC.
February 1, 2024 - May 23, 2026
LPL FINANCIAL LLC
September 27, 2019 - February 1, 2024
OSAIC INSTITUTIONS, INC.
July 9, 2015 - January 25, 2019
ALLIANZ LIFE FINANCIAL SERVICES, LLC
April 23, 2014 - July 14, 2015
J.P. MORGAN SECURITIES LLC
April 21, 2014 - July 14, 2015
J.P. MORGAN SECURITIES LLC
September 12, 2013 - February 25, 2014
PNC CAPITAL ADVISORS LLC
September 10, 2013 - February 7, 2014
FORESIDE DISTRIBUTION SOLUTIONS, LLC
June 28, 2011 - July 29, 2013
PNC WEALTH MANAGEMENT LLC
June 28, 2011 - July 29, 2013
PNC WEALTH MANAGEMENT LLC
April 26, 2010 - May 26, 2011
CHASE INVESTMENT SERVICES CORP.
April 21, 2010 - May 26, 2011
CHASE INVESTMENT SERVICES CORP.
September 8, 2009 - April 14, 2010
PROFESSIONAL ASSET MANAGEMENT, INC.
February 19, 2008 - July 29, 2009
CAPITAL BROKERAGE CORPORATION
March 1, 2006 - February 4, 2008
PROFESSIONAL ASSET MANAGEMENT, INC.
September 13, 2004 - March 1, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 18, 2004 - March 1, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
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
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VINER FINANCE INC. | PARENT CO. | |
| CASSIDY, THOMAS EDWARD | MANAGING DIRECTOR/DIRECTOR | 4502955 |
| GIORDANO, PETER JOHN | MANAGING DIRECTOR-CHIEF ADMINISTRATIVE OFFICER | 2921308 |
| HARRINGTON, EDWARD PATRICK | EXECUTIVE VICE PRESIDENT - PRIVATE CLIENT SERVICES | 2566682 |
| LOWENTHAL, ALBERT GRINSFELDER | EXECUTIVE CHAIRMAN-DIRECTOR-OWNS 100% OF PHASE II FIN'L | 313519 |
| LOWENTHAL, ROBERT STEVEN | CEO-PRESIDENT-DIRECTOR | 1639913 |
| MCNAMARA, DENNIS PATRICK | E.V.P./CLO/SECRETARY | 2938486 |
| MOLOKIE JR, LEON E | EXECUTIVE VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 1743402 |
| VALENTINO, DOMINIC THOMAS | CHIEF COMPLIANCE OFFICER | 6940515 |
| WATKINS, BRAD MICHAEL | DIRECTOR-EXECUTIVE VICE PRESIDENT-CFO | 6319251 |
Regulatory assets under management
| Total Number of Accounts | 39,036 |
| AUM (Assets Under Management) | $ 36,710,705,748 |
Disclosures
| Regulatory Event | 102 |
| Civil Event | 1 |
| Arbitration | 180 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2026 | ||
| 01/24/2025 | ||
| 10/25/2023 |
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.
