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Christopher Michael Auten

Investment Adviser Representative at OSAIC ADVISORY SERVICES, LLC

Hermosa Beach, CACRD #5588191Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
15 yrs
States Registered
2 states
Exams Passed
5

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Christopher Michael Auten has worked in the securities industry since 2011. They have passed the Series 65, 63, and 7 examinations. They are registered to provide investment advisory services in California and Texas.

Registrations & licenses

Registration type
Dual-registered
Registered in 2 states
CaliforniaTexas
Examinations passed
Series 63
Uniform Securities Agent State Law Examination
Passed 12/5/2025
Series 65
Uniform Investment Adviser Law Examination
Passed 3/8/2012
Series 7
General Securities Representative Examination
Passed 10/27/2025
SIE
Securities Industry Essentials Examination
Passed 6/20/2025
Series 7
General Securities Representative Examination
Passed 7/8/2010

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

Osaic Advisory Services, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

OSAIC WEALTH, INC.Current
10/13/2025Hermosa Beach, CA
OSAIC ADVISORY SERVICES, LLCCurrent
10/13/2025Hermosa Beach, CA
EMPIRICAL WEALTH MANAGEMENT
3/9/20236/27/2025Irvine, CA
CRESTWOOD ADVISORS
9/22/202111/12/2022Westport, CT
RZH ADVISORS LLC
9/30/20148/4/2021Stamford, CT
AMERIPRISE FINANCIAL SERVICES, INC.
3/9/20129/4/2014Harrison, NY

Official records & sources

Data as of June 21, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Christopher Michael Auten has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.

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