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Christopher William Doll
CHRIS WILLIAM DOLL
CRD#: 6127874
IA
B
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCCRD#: 149018 3773 Cherry Creek North Drive, #819
Denver, CO 80209
Denver, CO 80209
RAYMOND JAMES FINANCIAL SERVICES, INC.CRD#: 6694 915 S Hover Street
Longmont, CO 80501
Longmont, CO 80501
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11/4/2014
Employment Separation After Allegations
State Registrations
B
Arizona 11/9/2022
B
Nebraska 10/19/2022
B
California 10/4/2022
B
New Jersey 1/20/2023
B
Colorado 10/3/2022
B
North Carolina 11/10/2022
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Colorado 10/3/2022
B
Tennessee 10/4/2022
B
District of Columbia 6/20/2024
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Texas 10/3/2022
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Florida 10/4/2022
B
Texas 10/4/2022
B
Hawaii 11/21/2022
B
Utah 10/4/2022
B
Illinois 11/3/2022
B
Washington 10/19/2022
B
Maine 10/4/2022
B
Wisconsin 10/4/2022
B
Michigan 10/28/2024
B
Wyoming 10/20/2022
B
Missouri 10/15/2024
SRO Registrations
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IA
Registered with this firm since 10/3/2022
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Registered with this firm since 10/3/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/20/2020 - 10/06/2022 | DENVER, CO | |
B | 04/26/2018 - 10/06/2022 | DENVER, CO | |
B | 04/16/2015 - 12/12/2017 | GREENWOOD VILLAGE, CO | |
B | 11/25/2013 - 11/24/2014 | WESTMINSTER, CO |
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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.