Christopher Prien has been Managing Director/Chief Compliance Officer of Prien Asset Management since April 2018, is a control person of the firm and directly owns 75% or more of it.
Prien Asset Management, LLC is an Albuquerque, NM firm with $154M under management, 290 clients and 5 advisers across 4 offices, as of its March 2026 filing.
Christopher Prien is CEO/Portfolio Manager of WaterRock Wealth Management. Prien started his career in the financial services industry in 1990 and has held Vice President positions with Invesco, Thornburg Investment Management, New York Life and BBVA (PNC) Wealth Solutions.
Christopher Prien’s longest registration is the current one, 8 years at Prien Asset Management since 2018. Before joining Prien Asset Management in 2018, Christopher Prien was registered through Questar Asset Management, Inc. and New Mexico Financial Partners, LLC.
- Waterrock Wealth ManagementCurrent– present · 8 yearsAlbuquerque, NM · Adviser representative · Firm CRD 296462
- Questar Asset Management, Inc.– · 1 yearAlbuquerque, NM · Adviser representative · Firm CRD 133358
- New Mexico Financial Partners, LLC– · 1 yearSanta Fe, NM · Adviser representative · Firm CRD 170002
- Bbva Wealth Solutions Inc.– · 2 yearsAlbuquerque, NM · Adviser representative · Firm CRD 110476
- Wells Fargo Advisors, LLC– · 1 yearRio Rancho, NM · Adviser representative · Firm CRD 19616
- Prudential Financial Planning Services– · 1 yearAlbuquerque, NM · Adviser representative · Firm CRD 5685
- Edward Jones– · under a yearAlbuquerque, NM · Adviser representative · Firm CRD 250
- Thornburg Investment Management Inc– · 2 yearsSanta Fe, NM · Adviser representative · Firm CRD 106357
- New York Life Investment Management LLC– · under a yearParsippany, NJ · Adviser representative · Firm CRD 109591
- Merrill Lynch Pierce Fenner & Smith Inc.– · under a yearAlbuquerque, NM · Adviser representative · Firm CRD 7691
Investment adviser representative registrations
Christopher Prien is registered as an investment adviser representative in 3 states, as a resident of Texas. The first approvals date from June 2018; the most recent is Arizona, in October 2023.
- ArizonaSince 31 October 2023
- New MexicoSince 1 June 2018
- TexasResidentSince 12 April 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 1 March 2004 |
| Series 63 | Uniform Securities Agent State Law Examination | 7 January 1994 |
| Series 7 | General Securities Representative Examination | 27 January 1990 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Christopher Paul Prien
- CRD
- 1988563
- Firm
- Prien Asset Management · CRD 296462
- Role
- Managing Director/Chief Compliance Officer
- Office
- 6565 AMERICAS PARKWAY NE, STE 200, Albuquerque, NM 87110
- Registration
- Investment adviser registration
- In the industry since
- March 1996
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- waterrockwealthmanagement.com
Where does Christopher Prien work?
Christopher Prien has been Managing Director/Chief Compliance Officer of Prien Asset Management, LLC since April 2018, and is a control person of the firm.
Is Christopher Prien a financial advisor?
Yes. Christopher Prien has a current investment-adviser registration in Arizona, New Mexico and Texas, through Prien Asset Management since June 2018.
How many years of experience does Christopher Prien have?
Christopher Prien has 30 years in the financial industry, since March 1996, across 10 adviser firms.
What exams has Christopher Prien passed?
Christopher Prien has passed 3 licensing exams: the Series 7, Series 63 and Series 66. The earliest, the Series 7, was passed in January 1990. FINRA credited Christopher Prien with the SIE, which began in October 2018.
Where did Christopher Prien work before Prien Asset Management?
Before Prien Asset Management, Christopher Prien was registered through Questar Asset Management, Inc., July 2016 to February 2018; New Mexico Financial Partners, LLC, May 2015 to May 2016; Bbva Wealth Solutions Inc., September 2012 to May 2015; Wells Fargo Advisors, LLC, April 2011 to August 2012; Prudential Financial Planning Services, June 2009 to January 2011; Edward Jones, November 2008 to May 2009; Thornburg Investment Management Inc, February 2006 to November 2008; New York Life Investment Management LLC, April 2005 to February 2006; Merrill Lynch Pierce Fenner & Smith Inc., March 2004 to April 2004.
Where is Christopher Prien based?
Christopher Prien’s registered office is in Albuquerque, NM.
Is Christopher Prien registered with FINRA?
No. Christopher Prien has no current broker registration.
How can I verify Christopher Prien’s record?
Search CRD 1988563 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Christopher Prien’s full registration record.