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Christopher Kloman

Chief Operations Officer, President at Commonwealth Equity Services

Broker registration; no current adviser registrationSEC record checked 18 October 2026

0
Past adviser firms
6
Licensing exams

IAPD record retrieved 18 October 2026SEC record

Christopher Kloman is Chief Operations Officer, President of Commonwealth Equity Services, LLC, a Waltham investment adviser managing $213B. Christopher Kloman has a current broker registration and no current investment-adviser registration and has passed 6 licensing exams.

Role at Commonwealth Equity Services

Title on Schedule A
Chief Operations Officer, President
Control
Christopher Kloman is a control person of Commonwealth Equity Services.
Ownership
An individual ownership band is not available in the source record.
Tenure
Christopher Kloman has held the filed role since July 2015.

The firm

Commonwealth Equity Services, LLC
Waltham, MA

Form ADV filed 29 September 2026

$213B AUM360,488 clients2,650 advisers26 offices

Career on record

Firms and exams, newest first
  1. Passed Series 99TO · 2023
  2. Passed Series 63 · 2021
  3. Passed Series 24 · 2020
  4. Passed Series 7 and SIE · 2018
  5. Passed Series 27 · 2015

Registrations and exams

Broker registration; no current adviser registration. Christopher Kloman has passed 6 qualifying exams.

Examinations

Series 635 November 2021
Name
Uniform Securities Agent State Law Examination
Series 2422 September 2020
Name
General Securities Principal Examination
Series 2720 July 2015
Name
Financial and Operations Principal Examination
Series 99TO2 January 2023
Name
Operations Professional Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 713 August 2018
Name
General Securities Representative Examination

Individual record

Full name
Christopher Anthony Trapnell Kloman
CRD
4896179
Firm
Commonwealth Equity Services, LLC
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Christopher Kloman work?

Christopher Kloman has been Chief Operations Officer, President of Commonwealth Equity Services, LLC since July 2015, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 29 September 2026

Does Christopher Kloman have a current investment-adviser registration?

Christopher Kloman has a current broker registration and no current investment-adviser registration, as of 18 October 2026.

Source: IAPD individual record, checked 18 October 2026

What exams has Christopher Kloman passed?

Christopher Kloman has passed 6 licensing exams: the Series 27, Series 7, SIE, Series 24, Series 63 and Series 99TO. The earliest, the Series 27, was passed in July 2015.

Source: IAPD individual record, checked 18 October 2026

Leadership at Commonwealth Equity Services

Sources

  1. IAPD individual record, CRD 4896179. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Commonwealth Equity Services, LLC, filed 29 September 2026. Title, control and ownership bands.

Retrieved 18 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Christopher Kloman or Commonwealth Equity Services, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.