Christopher A. Kontz
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 Alan Kontz, who also goes by Christopher A Kontz, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2009. Christopher had worked at 4 firms and has passed the Series 65, Series 66, 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
November 12, 2021 - February 28, 2023
DOLPHIN FINANCIAL GROUP
February 20, 2014 - November 22, 2016
WELLS FARGO CLEARING SERVICES, LLC
February 19, 2014 - November 22, 2016
WELLS FARGO CLEARING SERVICES, LLC
January 28, 2013 - February 4, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 4, 2013 - February 4, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 8, 2009 - September 10, 2009
EDWARD JONES
June 23, 2009 - September 10, 2009
EDWARD JONES
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
DOLPHIN FINANCIAL GROUP
CRD#: 170160 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 74 |
| AUM (Assets Under Management) | $ 10,500,000 |
Red Flags
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