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Detailed Report
CHRISTOPHER MAX NORNBERG
CHRIS MAX NORNBERG
CRD#: 2551556
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 3020 OLD RANCH PKWY
STES 190, 150 & 140
SEAL BEACH, CA 90740
Registration History
19952000200520102015202020252 FIRMS2005 - 2005 (<1 year)2 FIRMS2005 - 2007 (1 year)2 FIRMS2007 - 2008 (<1 year)2 FIRMS2008 - Present (17 years)BCITICORP INVESTMENT SERVICES (CRD# 23988)1999 - 2005 (6 years)BBA INVESTMENT SERVICES, INC. (CRD# 12965)1999 - 1999 (<1 year)BCITICORP INVESTMENT SERVICES (CRD# 23988)1997 - 1999 (1 year)BNORWEST INVESTMENT SERVICES, INC. (CRD# 16100)1996 - 1997 (<1 year)BVSR FINANCIAL SERVICES, INC. (CRD# 14503)1996 - 1996 (<1 year)BPRINCIPAL FINANCIAL SECURITIES... (CRD# 260)1995 - 1996 (1 year)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1994 - 1995 (<1 year)IACITICORP INVESTMENT SERVICES (CRD# 23988)2002 - 2005 (3 years)
Disclosure(s)
View By:
11/19/2008
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 2/15/2008
B
Missouri 6/10/2008
B
California 2/15/2008
B
Nevada 7/23/2018
IA
California 2/15/2008
B
New Jersey 12/7/2015
B
Colorado 1/12/2024
B
New Mexico 12/20/2022
B
Connecticut 1/8/2025
B
New York 7/21/2017
B
Delaware 3/5/2015
B
North Carolina 1/8/2025
B
District of Columbia 5/15/2018
B
North Dakota 1/8/2025
B
Florida 2/25/2008
B
Ohio 3/4/2024
B
Georgia 4/28/2022
B
Oregon 3/28/2023
B
Hawaii 1/4/2018
B
Pennsylvania 1/8/2025
B
Idaho 1/8/2025
B
South Carolina 1/8/2025
B
Illinois 1/8/2025
B
Tennessee 1/8/2025
B
Louisiana 1/8/2025
B
Texas 7/8/2021
B
Maine 8/16/2021
IA
Texas 7/9/2021
B
Massachusetts 1/8/2025
B
Virginia 1/8/2025
B
Michigan 1/8/2025
B
Washington 2/13/2017
B
Minnesota 2/15/2008
B
Wyoming 1/8/2025

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
3020 OLD RANCH PKWY STES 190, 150 & 140, SEAL BEACH, CA 90740
FOUNTAIN VALLEY, CA
Registered with this firm since 2/15/2008
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
3020 OLD RANCH PKWY STES 190, 150 & 140, SEAL BEACH, CA 90740
FOUNTAIN VALLEY, CA
Registered with this firm since 2/15/2008
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 05/29/2007 - 03/03/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) WEST HOLLYWOOD, CA
B
 05/29/2007 - 03/03/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) WEST HOLLYWOOD, CA
IA
 11/22/2005 - 05/29/2007 CITICORP INVESTMENT SERVICES (CRD#:23988) WEST HOLLYWOOD, CA
B
 11/22/2005 - 05/29/2007 CITICORP INVESTMENT SERVICES (CRD#:23988) WEST HOLLYWOOD, CA
IA
 11/14/2005 - 11/23/2005 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) BEVERLY HILLS, CA
B
 11/11/2005 - 11/23/2005 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) BEVERLY HILLS, CA
IA
 08/29/2002 - 11/18/2005 CITICORP INVESTMENT SERVICES (CRD#:23988) LOS ANGELES, CA
B
 05/17/1999 - 11/18/2005 CITICORP INVESTMENT SERVICES (CRD#:23988) LONG ISLAND CITY, NY
B
 04/26/1999 - 05/18/1999 BA INVESTMENT SERVICES, INC. (CRD#:12965) OAKLAND, CA
B
 08/20/1997 - 04/30/1999 CITICORP INVESTMENT SERVICES (CRD#:23988) LONG ISLAND CITY, NY
B
 11/07/1996 - 07/22/1997 NORWEST INVESTMENT SERVICES, INC. (CRD#:16100) MINNEAPOLIS, MN
B
 09/18/1996 - 11/06/1996 VSR FINANCIAL SERVICES, INC. (CRD#:14503) OVERLAND PARK, KS
B
 05/15/1995 - 09/12/1996 PRINCIPAL FINANCIAL SECURITIES,INC. (CRD#:260) DALLAS, TX
B
 11/21/1994 - 05/18/1995 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.