CS
CS

Christopher Sawch

39 Years of Experience
Southport, CT
3 DisclosuresBroker

Christopher Sawch is a registered investment advisor at Wells Fargo Advisors, based in Southport, CT, with 39 years of industry experience. Their practice areas include Retirement Planning. Their firm serves 401,726 clients with $200B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
3710 advisors
IM Fee
Planning only
Assets Under Management
$197.4B

Fee Structure

Investment management only (planning not offered)

Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.

Loading...

Location

30 Jelliff Ln, 2nd Fl, Southport, CT, 06890

Get directions

History

Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
March 2009
Denied
Customer Dispute
December 2008
Denied
Customer Dispute
April 2008
Settled
Other Business Activities

Christopher has ownership stakes in Shearwater Creek LLC and ACK Capital, LLC, and is a co-trustee for the Shearwater Creek LLC 401k. These activities require minimal time commitment.

Employment History
Current Registrations
Wells Fargo Advisors
October 2016 - Present · 9 yrs 7 mos
Wells Fargo Advisors Financial Network, LLCBroker
October 2016 - Present · 9 yrs 7 mos
Previous Registrations
Morgan Stanley
June 2009 - November 2016 · 7 yrs 5 mos
Morgan StanleyBroker
June 2009 - November 2016 · 7 yrs 5 mos
Morgan Stanley & CO. IncorporatedBroker
April 2008 - June 2009 · 1 yr 2 mos
Morgan Stanley & CO. Incorporated
April 2008 - June 2009 · 1 yr 2 mos
UBS Financial Services INC.Broker
October 1997 - April 2008 · 10 yrs 6 mos
UBS Financial Services INC.
October 1997 - April 2008 · 10 yrs 6 mos
Bt Alex. Brown IncorporatedBroker
September 1997 - November 1997 · 2 mos
Alex. Brown & Sons IncorporatedBroker
April 1996 - September 1997 · 1 yr 5 mos
Painewebber IncorporatedBroker
January 1995 - April 1996 · 1 yr 3 mos
Kidder, Peabody & CO. IncorporatedBroker
June 1990 - January 1995 · 4 yrs 7 mos
Greenwich Capital Markets, INC.Broker
February 1990 - June 1990 · 4 mos
Goldman Sachs Money Markets INC.Broker
April 1987 - January 1990 · 2 yrs 9 mos
Goldman, Sachs & CO.Broker
September 1986 - April 1987 · 7 mos
State Registrations30 states
CACOCTDCDEFLGAILMAMDMEMIMNMOMTNCNHNJNYOHOKORPARISCTXUTVAVTWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.