Christopher G. Foy
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Christopher George Foy was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1986. Christopher had worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 2019 - March 1, 2023
BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC
November 30, 2015 - May 21, 2018
BREAN CAPITAL, LLC
December 18, 2008 - June 17, 2015
WATERWAY CAPITAL LLC
May 5, 2005 - May 4, 2007
BANC OF AMERICA SECURITIES LLC
January 14, 2004 - April 27, 2005
MORGAN KEEGAN & COMPANY, LLC
March 10, 2000 - July 12, 2002
DEUTSCHE BANK SECURITIES INC.
November 8, 1995 - March 16, 2000
BANC OF AMERICA SECURITIES LLC
March 8, 1995 - September 19, 1995
INTESA SANPAOLO IMI SECURITIES CORP.
January 13, 1993 - January 16, 1995
KIDDER, PEABODY & CO. INCORPORATED
April 30, 1991 - November 25, 1992
INTESA SANPAOLO IMI SECURITIES CORP.
November 1, 1990 - April 30, 1991
MABON, NUGENT & CO.
August 2, 1989 - February 21, 1991
TUCKER ANTHONY INCORPORATED
February 11, 1986 - April 1, 1989
L. F. ROTHSCHILD & CO. INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC
CRD#: 114212 / SEC#: , 8-53412
Contact information
FINRA licenses (6 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROADRIDGE BPO HOLDING LLC | SOLE MEMBER | |
| ALEXANDER, MICHAEL JAY | CEO/PRESIDENT/ MANAGER ON THE BOARD OF MANAGERS | 1428753 |
| BEUTELSCHIES, WILL SAMUEL | DIRECTOR OF COMPLIANCE: AMLCO | 2779204 |
| CASS, ALBERT JOHN LLL | VICE PRESIDENT | 2182652 |
| DEONIER, CHRISTIAN WILLIAM | SENIOR VICE PRESIDENT | 2829240 |
| GIACALONE, THOMAS A. | PRINCIPAL OPERATING OFFICER / MANAGER ON THE BOARD OF MANAGERS | 2873774 |
| JUHL, SVETLANA | MANAGER ON THE BOARD OF MANAGERS | 6154375 |
| PERRY, CHRISTOPHER JOHN | MANAGER ON THE BOARD OF MANAGERS | 1841603 |
| PORT, JAMES EDWARD | CHIEF COMPLIANCE OFFICER | 2366427 |
| SAX, CHARLES EDMOND | CHIEF FINANCIAL OFFICER / VP / TREASURER / FINOP | 1821188 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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