CH
Christopher J. Hurley
CAPIS
Dallas, TX 75201
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CRD#: 1501203
CH
Professional summary
Christopher Joseph Hurley, who also goes by Chris Hurley, is a registered financial professional currently at CAPIS located in Dallas, Texas.
Christopher is registered as a RR (Registered Representative) and started their career in finance in 1986. Christopher has worked at 5 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 6, Series 10, Series 9 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Chris Hurley
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Christopher Joseph Hurley's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 20, 1992 - Present
CAPIS
Office #1: 1700 Pacific Ave. Suite 1100, Dallas, TX 75201BD
CRD#: 7551
Dallas, TX
Past
January 14, 1991 - March 23, 1992
BUCKHEAD FINANCIAL CORPORATION
BD
CRD#: 18398
Past
October 1, 1990 - January 15, 1991
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
WALTHAM, MA
Past
January 6, 1987 - September 21, 1990
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Past
July 10, 1986 - December 12, 1986
FIDELITY DISTRIBUTORS CORPORATION
BD
CRD#: 6848
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Texas(4/21/1992)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 7/10/1989
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
CA
CAPIS
CAPIS | CAPITAL INSTITUTIONAL SERVICES, INC.
CRD#: 7551 / SEC#: , 8-22273
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
1700 Pacific Ave. Suite 1100, Dallas, TX 75201
Mailing Address
1700 Pacific Ave. Suite 1100, Dallas, TX 75201
Phone number
(214) 720-0055
Established
Texas since 08/31/1977
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (5 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CULLEN POTTS STOCK TRUST | SHAREHOLDER | |
| HEIDEMANN REVOCABLE TRUST | SHAREHOLDER | |
| CHOATE, DAVID PAUL | CHIEF OPERATIONS OFFICER | 1568590 |
| DONALD C. POTTS DYNASTY TRUST FBO DONALD CULLEN POTTS II | SHAREHOLDER | |
| DONALD C. POTTS DYNASTY TRUST FBO KRISTI POTTS WETHERINGTON | SHAREHOLDER | |
| HEIDEMANN, JORGEN HAMILTON | DIRECTOR | 1042114 |
| HUSEINBEGOVIC, BENIN NMN | CHIEF FINANCIAL OFFICER / FINOP | 4806696 |
| KICAK, THOMAS ALAN | CHIEF COMPLIANCE OFFICER | 1441596 |
| LAMENDOLA, STEPHEN DEAN | CHIEF INFORMATION OFFICER | 4006443 |
| POTTS, DONALD CULLEN II | TRUSTEE, CULLEN POTTS STOCK TRUST | 2845666 |
| POTTS, DONALD CULLEN II | CHAIRMAN OF THE BOARD | 2845666 |
| SARA SUE POTTS DYNASTY TRUST FBO DONALD CULLEN POTTS II | SHAREHOLDER | |
| SARA SUE POTTS DYNASTY TRUST FBO KRISTI POTTS WETHERINGTON | SHAREHOLDER | |
| SEBERT, ANN VANSANT | TRUSTEE, SARA SUE POTTS DYNASTY TRUST FBO DONALD CULLEN POTTS II | 4589262 |
| SEBERT, ANN VANSANT | TRUSTEE, DONALD C. POTTS DYNASTY TRUST FBO DONALD CULLEN POTTS II | 4589262 |
| SEBERT, ANN VANSANT | TRUSTEE, SARA SUE POTTS DYNASTY TRUST FBO KRISTI POTTS WETHERINGTON | 4589262 |
| SEBERT, ANN VANSANT | TRUSTEE, DONALD C. POTTS DYNASTY TRUST FBO KRISTI POTTS WETHERINGTON | 4589262 |
| SEBERT, ANN VANSANT | CHIEF EXECUTIVE OFFICER | 4589262 |
Disclosures
| Regulatory Event | 9 |
Red Flags
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Company Information
CAPIS
CRD#: 7551Dallas, TX 75201TRUST BUT VERIFY
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