CR
Christopher M. Rowe
GLENDALE SECURITIES
Sherman Oaks, CA 91403
Some features on this profile are disabled
CRD#: 5562884
CR
Professional summary
Christopher Michael Rowe is a registered financial professional currently at GLENDALE SECURITIES, INC. located in Sherman Oaks, California.
Christopher is registered as a RR (Registered Representative) and started their career in finance in 2008. Christopher has worked at 5 firms and has passed the Series 66, Series 99TO, Series 57TO, Series 79TO, SIE, Series 55, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Christopher Michael Rowe's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 30, 2013 - Present
GLENDALE SECURITIES, INC.
Office #1: 15233 Ventura Blvd., Suite 712, Sherman Oaks, CA 91403BD
CRD#: 123649
Sherman Oaks, CA
Past
January 14, 2016 - March 2, 2017
MUNDIAL FINANCIAL GROUP, LLC
BD
CRD#: 149531
NEW YORK, NY
Past
May 11, 2012 - August 30, 2013
C.M. ROWE FINANCIAL, LLC
RIA
CRD#: 164019
BREA, CA
Past
June 19, 2009 - October 17, 2011
ZECCO TRADING, INC.
BD
CRD#: 135398
GLENDALE, CA
Past
July 15, 2008 - June 8, 2009
WESTERN INTERNATIONAL SECURITIES, INC.
BD
CRD#: 39262
PASADENA, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(8/30/2013)
RR
Alaska(8/30/2013)
RR
Arizona(8/30/2013)
RR
Arkansas(8/30/2013)
RR
California(8/30/2013)
RR
Colorado(8/30/2013)
RR
Connecticut(8/30/2013)
RR
Delaware(7/8/2016)
RR
Florida(8/30/2013)
RR
Georgia(8/30/2013)
RR
Hawaii(7/8/2016)
RR
Idaho(10/12/2018)
RR
Illinois(8/30/2013)
RR
Indiana(8/30/2013)
RR
Iowa(8/30/2013)
RR
Kansas(8/30/2013)
RR
Kentucky(8/30/2013)
RR
Louisiana(8/30/2013)
RR
Maine(8/30/2013)
RR
Maryland(8/30/2013)
RR
Massachusetts(8/30/2013)
RR
Michigan(8/30/2013)
RR
Minnesota(8/30/2013)
RR
Mississippi(8/30/2013)
RR
Missouri(8/30/2013)
RR
Montana(8/30/2013)
RR
Nevada(8/30/2013)
RR
New Hampshire(8/30/2013)
RR
New Jersey(8/30/2013)
RR
New Mexico(8/30/2013)
RR
New York(8/30/2013)
RR
North Carolina(9/4/2013)
RR
Ohio(8/30/2013)
RR
Oklahoma(8/30/2013)
RR
Oregon(8/30/2013)
RR
Pennsylvania(8/30/2013)
RR
Puerto Rico(7/8/2016)
RR
Rhode Island(8/30/2013)
RR
South Carolina(8/30/2013)
RR
South Dakota(8/30/2013)
RR
Tennessee(4/19/2023)
RR
Texas(8/30/2013)
RR
Utah(8/30/2013)
RR
Virginia(8/30/2013)
RR
Washington(8/30/2013)
RR
Wisconsin(8/30/2013)
RR
Wyoming(8/30/2013)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 79TO
Date: 2/26/2021
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 9/24/2013
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
GS
GLENDALE SECURITIES, INC.
GLENDALE SECURITIES, INC.
CRD#: 123649 / SEC#: , 8-65604
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
15233 Ventura Blvd., Suite 712, Sherman Oaks, CA 91403
Mailing Address
15233 Ventura Blvd., Suite 712, Sherman Oaks, CA 91403
Phone number
(818) 907-1505
Established
California since 08/19/2002
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (47 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 6 |
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.
