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CB

Christopher D. Brady

Some features on this profile are disabled
CRD#: 1689389
CB

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 Douglas Brady was a registered financial professional .

Christopher is a previously registered financial professional and started their career in finance in 1987. Christopher had worked at 3 firms and has passed the SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 25, 2006 - June 30, 2016

CHART GROUP ADVISORS, LLC

BD
CRD#: 118814
NEW YORK, NY
Past

January 23, 1992 - June 14, 1993

LODESTAR SECURITIES INC.

BD
CRD#: 27989
Past

June 3, 1987 - February 20, 1991

SBC WARBURG DILLON READ INC.

BD
CRD#: 1650

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 6/30/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/19/1988
General Securities Representative Examination

Current Firm

CG
CHART GROUP ADVISORS, LLC
CHART GROUP ADVISORS, LLC | WILLIAM STREET ADVISORS LLC

CRD#: 118814 / SEC#: , 8-53690

BD
Terminated by SEC on 08/29/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 05/24/2001
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
THE CHART GROUP, LP100% OWNER
CAMPBELL, ROBERTFINOP1349154
LABARBERA, MICHAEL JAMESCHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER1243021
LABARBERA, MICHAEL JAMESEXECUTIVE REPRESENTATIVE1243021

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

CHART GROUP ADVISORS, LLC

CRD#: 118814

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