Christopher Mongeon has been an investment adviser representative at Warner Group since October 2026, and is not listed among the firm’s executive officers or direct owners.
Warner Group LLC is a Madison, CT firm with $458M under management, 758 clients and 7 advisers across 3 offices, as of its September 2026 filing.
Chris Mongeon is a Financial Advisor at Warner Wealth. He began his work in financial services in 2010 and has guided clients through retirement planning, pension and retirement asset management, business succession considerations and the inheritance process.
Christopher Mongeon’s longest registration is the current one, 7 years at LPL Financial LLC since 2019.
- Warner WealthCurrent– present · under a yearLancaster, MA · Adviser representative · Firm CRD 334877
- LPL Financial LLCAlso current– present · 7 yearsLancaster, MA · Adviser representative and broker · Firm CRD 6413
Investment adviser representative registrations
Christopher Mongeon is registered as an investment adviser representative in 2 states. Each was approved in October 2026.
- ConnecticutSince 7 October 2026
- MassachusettsSince 15 October 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 8 September 2026 |
| Series 7TO | General Securities Representative Examination | 20 February 2026 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 14 January 2011 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 21 October 2010 |
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Christopher Lee Mongeon
- CRD
- 5849460
- Firm
- Warner Group · CRD 334877
- Office
- Lancaster, MA
- Registration
- Investment adviser and broker registrations
- In the industry since
- October 2010
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- warnerwm.com
Where does Christopher Mongeon work?
Christopher Mongeon is an investment adviser representative registered through Warner Group LLC since October 2026, and is not listed among the firm’s executive officers or direct owners.
Is Christopher Mongeon a financial advisor?
Yes. Christopher Mongeon has a current investment-adviser registration in Connecticut and Massachusetts, through Warner Group since October 2026.
How many years of experience does Christopher Mongeon have?
Christopher Mongeon has 16 years in the financial industry, since October 2010, across 2 adviser firms.
What exams has Christopher Mongeon passed?
Christopher Mongeon has passed 4 licensing exams: the Series 6, Series 63, Series 7TO and Series 66. The earliest, the Series 6, was passed in October 2010. FINRA credited Christopher Mongeon with the SIE, which began in October 2018.
Where is Christopher Mongeon based?
Christopher Mongeon’s registered office is in Lancaster, MA.
Is Christopher Mongeon registered with FINRA?
Yes. Christopher Mongeon has a current broker registration, under CRD 5849460.
Source: FINRA BrokerCheck
How can I verify Christopher Mongeon’s record?
Search CRD 5849460 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Christopher Mongeon’s full registration record.
- Lisa LaFondChief Compliance Officer
James WarnerOwner