Christopher J. Douglas
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 John Douglas, who also goes by Chris Douglas, Christopher J Douglas, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2020. Christopher had worked at 2 firms and has passed the Series 66, Series 7TO, SIE and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 22, 2020 - August 12, 2026
RBC ROCHDALE, LLC
February 21, 2020 - June 30, 2025
CNR SECURITIES, LLC
Primary Firm SEC Registration
RBC ROCHDALE, LLC
CRD#: 117198 / SEC#: 801-27265
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 7TO
Date: 2/21/2020
General Securities Representative ExaminationCurrent Firm
RBC ROCHDALE, LLC
CRD#: 117198 / SEC#: 801-27265
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 42,671 |
| AUM (Assets Under Management) | $ 72,960,498,578 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/25/2026 | ||
| 01/28/2025 | ||
| 10/27/2023 |
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.
