Individual Firm
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CHRISTOPHER S AUSTIN
CHRIS AUSTIN, CHRISTOPHER SCOTT AUSTIN
CRD#: 5874196
IA
B
CITY NATIONAL ROCHDALECRD#: 117198 18111 VON KARMAN AVENUE
IRVINE, CA 92612
IRVINE, CA 92612
CNR SECURITIES, LLCCRD#: 18466 18111 VON KARMAN AVENUE
IRVINE, CA 92612
IRVINE, CA 92612
0
Disclosures
13
Years of Experience
View By:
State Registrations
B
California 3/3/2020
B
Michigan 8/12/2022
IA
California 3/4/2020
B
New York 4/16/2021
B
Colorado 4/16/2021
B
Texas 4/16/2021
B
Delaware 4/16/2021
IA
Texas 2/7/2025
B
Idaho 8/12/2022
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 3/4/2020
B
Registered with this firm since 3/3/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 03/11/2014 - 03/06/2020 | COSTA MESA, CA | |
IA | 05/07/2018 - 02/03/2020 | COSTA MESA, CA | |
IA | 03/19/2014 - 12/31/2016 | COSTA MESA, CA | |
IA | 01/14/2013 - 02/24/2014 | NEWPORT BEACH, CA | |
B | 01/10/2013 - 02/24/2014 | NEWPORT BEACH, CA | |
IA | 11/10/2011 - 01/07/2013 | COSTA MESA, CA | |
B | 10/21/2011 - 01/07/2013 | COSTA MESA, CA | |
B | 01/14/2011 - 08/30/2011 | IRVINE, CA |
COSTA MESA, CA
11/10/2011 - 01/07/2013
COSTA MESA, CA
10/21/2011 - 01/07/2013
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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.