Christopher K. Von Bargen
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 Kyle Von Bargen, who also goes by Christopher Kyle Vonbargen, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1986. Christopher had worked at 17 firms and has passed the Series 65, 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
January 5, 2015 - December 5, 2019
FORESIDE FUND SERVICES, LLC
June 2, 2014 - December 31, 2014
QUASAR DISTRIBUTORS, LLC
September 22, 2011 - May 20, 2014
PNC CAPITAL ADVISORS LLC
October 29, 2009 - April 23, 2014
FORESIDE DISTRIBUTION SOLUTIONS, LLC
May 23, 2008 - October 2, 2009
NATCITY INVESTMENTS, INC.
May 23, 2008 - October 2, 2009
NATCITY INVESTMENTS, INC.
October 12, 2007 - December 10, 2007
COMPASS ADVISORS, LLC
October 10, 2007 - December 10, 2007
CAI INSTITUTIONAL SERVICES, LLC
September 4, 2007 - October 3, 2007
BNY MELLON SECURITIES CORPORATION
March 23, 2006 - September 5, 2007
BNY INVESTMENT CENTER INC.
March 21, 2006 - September 5, 2007
BNY INVESTMENT CENTER INC.
August 29, 2003 - September 8, 2005
G.RESEARCH, LLC
July 7, 2003 - September 8, 2003
TRUIST INVESTMENT SERVICES, INC.
May 28, 1998 - November 1, 2002
BERGER DISTRIBUTORS LLC
May 16, 1996 - February 18, 1998
TRANSAMERICA SECURITIES SALES CORPORATION
September 29, 1995 - April 16, 1996
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
July 13, 1995 - October 4, 1995
CHARLES SCHWAB & CO., INC.
March 22, 1991 - October 24, 1994
CONFEDERATION FINANCIAL SERVICES (U.S.), INC.
September 26, 1986 - December 19, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
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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