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CHRISTOPHER ALAN LAUVER
CHRISTOPHER LAUVER
CRD#: 4234552
IA
B
VALIC FINANCIAL ADVISORS, INC.CRD#: 42803 307 FELLOWSHIP ROAD
SUITE 205
MOUNT LAUREL, NJ 08054
SUITE 205
MOUNT LAUREL, NJ 08054
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6/4/2018
Customer Dispute
Settled
State Registrations
B
California 6/8/2022
B
Massachusetts 1/21/2021
IA
California 6/9/2022
IA
Massachusetts 4/13/2021
B
Delaware 4/24/2018
B
New Jersey 4/2/2018
IA
Delaware 5/1/2018
IA
New Jersey 4/2/2018
B
Florida 6/8/2020
B
New York 9/16/2021
IA
Florida 6/9/2020
IA
New York 9/17/2021
B
Maine 4/21/2023
B
Pennsylvania 4/6/2018
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Maine 4/24/2023
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Pennsylvania 4/10/2018
B
Maryland 1/21/2021
B
Texas 7/30/2021
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Maryland 1/22/2021
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Texas 7/30/2021
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
IA
Registered with this firm since 4/2/2018
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Registered with this firm since 4/2/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/26/2012 - 03/05/2018 | PRINCETON, NJ | |
B | 09/26/2012 - 03/05/2018 | PRINCETON, NJ | |
IA | 06/30/2008 - 09/13/2012 | MOUNT LAUREL, NJ | |
B | 06/30/2008 - 09/13/2012 | MOUNT LAUREL, NJ | |
IA | 08/11/2003 - 06/24/2008 | RADNOR, PA | |
B | 08/11/2003 - 06/24/2008 | RADNOR, PA | |
IA | 05/02/2002 - 10/21/2003 | PENNINGTON, NJ | |
B | 04/24/2001 - 10/21/2003 | NEW YORK, NY | |
B | 11/08/2000 - 02/28/2001 | OMAHA, NE |
PRINCETON, NJ
09/26/2012 - 03/05/2018
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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.