Individual Firm
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
CHRISTOPHER JOHN FOGARTY
CHIRSTOPHER JOHN FOGARTY, CHRIS FOGARTY
CRD#: 2824785
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 9 CENTENNIAL DRIVE 2ND FLOOR
PEABODY, MA 01960
PEABODY, MA 01960
CETERA ADVISORS LLCCRD#: 10299 9 CENTENNIAL DRIVE 2ND FLOOR
PEABODY, MA 01960
PEABODY, MA 01960
0
Disclosures
28
Years of Experience
View By:
State Registrations
B
Florida 1/23/2024
B
Pennsylvania 10/4/2023
B
Massachusetts 10/3/2016
B
Rhode Island 10/3/2016
IA
Massachusetts 3/21/2024
B
South Carolina 8/20/2021
B
New Hampshire 10/3/2016
B
Vermont 2/8/2023
B
New York 1/31/2025
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 3/21/2024
B
Registered with this firm since 10/3/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/03/2016 - 03/21/2024 | LYNNFIELD, MA | |
IA | 01/13/2005 - 10/03/2016 | LYNNFIELD, MA | |
B | 01/14/1998 - 10/03/2016 | LYNNFIELD, MA | |
IA | 08/16/1999 - 12/31/2004 | LYNNFIELD, MA | |
B | 01/13/1997 - 11/26/1997 | BOSTON, MA |
LYNNFIELD, MA
08/16/1999 - 12/31/2004
For additional information about investment advisers or broker-dealers, please visit
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.