Christopher L. Browning
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 Landon Browning was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2018. Christopher had worked at 3 firms and has passed the Series 66, Series 63, Series 82TO, Series 7TO, Series 50, Series 79TO, Series 52TO, SIE, Series 7, Series 54 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 21, 2022 - December 19, 2022
ZIONS CAPITAL ADVISORS, INC.
September 28, 2021 - December 19, 2022
ZIONS DIRECT, INC.
February 28, 2018 - April 25, 2019
E*TRADE SECURITIES LLC
Primary Firm SEC Registration
ZIONS CAPITAL ADVISORS, INC.
CRD#: 131308 / SEC#: 801-63287
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 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 7TO
Date: 6/9/2022
General Securities Representative ExaminationSeries 79TO
Date: 1/28/2022
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 9/28/2021
Municipal Securities Representative ExaminationCurrent Firm
ZIONS CAPITAL ADVISORS, INC.
CRD#: 131308 / SEC#: 801-63287
Contact information
SEC notice filing (10 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 88 |
| AUM (Assets Under Management) | $ 1,460,957,454 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/11/2025 | ||
| 02/26/2024 | ||
| 02/21/2023 |
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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