Christopher A. Cotter
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 Alan Cotter, who also goes by Chris Cotter, Christopher Cotter, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1988. Christopher had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 23, 2018 - December 31, 2023
CITY CAPITAL ADVISORS, LLC
October 1, 2015 - July 25, 2016
PIPER SANDLER & CO.
November 1, 2011 - September 29, 2015
RIVER BRANCH CAPITAL LLC
February 18, 2011 - October 31, 2011
CITY CAPITAL ADVISORS, LLC
May 17, 1989 - April 8, 2009
WILLIAM BLAIR
February 5, 1988 - February 23, 1989
GOLDMAN SACHS & CO. LLC
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
CITY CAPITAL ADVISORS, LLC
CRD#: 143528 / SEC#: , 8-67580
Contact information
FINRA licenses (6 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KING, RICHARD MARTIN | MANAGING DIRECTOR | |
| TIMMERMAN, MARK ALLEN | CCO, AMLCO, MANAGING DIRECTOR & EXECUTIVE REPRESENTATIVE | |
| LENART, BRIAN DOUGLAS | FINOP, PFO/POO | 736107 |
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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