CH
Christopher J. Harlin
GUGGENHEIM FUNDS DISTRIBUTORS
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 1833786
CH
Professional summary
Christopher John Harlin, who also goes by Chris Harlin, is a registered financial professional currently at GUGGENHEIM FUNDS DISTRIBUTORS, LLC located in Chicago, Illinois.
Christopher is registered as a RR (Registered Representative) and started their career in finance in 1988. Christopher has worked at 7 firms and has passed the Series 63, Series 3, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Chris Harlin
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 John Harlin'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
February 16, 2024 - Present
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
Office #1: 227 West Monroe Street 7th Floor, Chicago, IL 60606RIA
BD
CRD#: 39805
Chicago, IL
Past
July 28, 2015 - October 11, 2023
FORESIDE FUND SERVICES, LLC
BD
CRD#: 46106
PORTLAND, ME
Past
February 24, 2011 - April 2, 2015
NORTHERN TRUST SECURITIES, INC.
BD
CRD#: 7927
CHICAGO, IL
Past
April 28, 2008 - February 27, 2009
NORTHERN TRUST SECURITIES, INC.
BD
CRD#: 7927
CHICAGO, IL
Past
July 14, 1998 - May 8, 2006
LYNCH, JONES & RYAN LLC
BD
CRD#: 3198
ADDISON, TX
Past
January 6, 1996 - January 8, 1998
CAPIS
BD
CRD#: 7551
DALLAS, TX
Past
July 14, 1994 - December 7, 1995
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
August 29, 1988 - July 15, 1994
AUTRANET, LLC
BD
CRD#: 8192
JERSEY CITY, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
GF
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
CLAYMORE SECURITIES, INC. | RANSON & ASSOCIATES INC. | GUGGENHEIM PARTNERS | GUGGENHEIM INVESTMENTS | GUGGENHEIM GLOBAL INVESTMENTS | GUGGENHEIM FUNDS DISTRIBUTORS, LLC | GUGGENHEIM FUNDS DISTRIBUTORS, INC. | GUGGENHEIM
CRD#: 39805 / SEC#: 801-54810, 8-48842
RIA
Registered Investment Advisory firm - SEC (8/26/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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
Alabama(3/4/2024)
RR
Alaska(3/4/2024)
RR
Arizona(3/4/2024)
RR
Arkansas(3/4/2024)
RR
California(3/4/2024)
RR
Colorado(3/4/2024)
RR
Connecticut(3/4/2024)
RR
Delaware(3/4/2024)
RR
District of Columbia(3/4/2024)
RR
Florida(3/4/2024)
RR
Georgia(3/4/2024)
RR
Hawaii(3/4/2024)
RR
Idaho(3/4/2024)
RR
Illinois(2/16/2024)
RR
Indiana(3/4/2024)
RR
Iowa(3/4/2024)
RR
Kansas(3/4/2024)
RR
Kentucky(3/4/2024)
RR
Louisiana(3/4/2024)
RR
Maine(3/4/2024)
RR
Maryland(3/4/2024)
RR
Massachusetts(3/4/2024)
RR
Michigan(3/4/2024)
RR
Minnesota(3/4/2024)
RR
Mississippi(3/4/2024)
RR
Missouri(3/4/2024)
RR
Montana(3/4/2024)
RR
Nebraska(3/4/2024)
RR
Nevada(3/4/2024)
RR
New Hampshire(3/4/2024)
RR
New Jersey(3/4/2024)
RR
New Mexico(3/4/2024)
RR
New York(3/4/2024)
RR
North Carolina(3/4/2024)
RR
North Dakota(3/4/2024)
RR
Ohio(3/4/2024)
RR
Oklahoma(3/4/2024)
RR
Oregon(3/4/2024)
RR
Pennsylvania(3/4/2024)
RR
Puerto Rico(3/4/2024)
RR
Rhode Island(3/4/2024)
RR
South Carolina(3/4/2024)
RR
South Dakota(3/4/2024)
RR
Tennessee(3/4/2024)
RR
Texas(3/4/2024)
RR
Utah(3/4/2024)
RR
Vermont(3/4/2024)
RR
Virgin Islands(3/4/2024)
RR
Virginia(3/4/2024)
RR
Washington(3/4/2024)
RR
West Virginia(3/4/2024)
RR
Wisconsin(3/4/2024)
RR
Wyoming(3/4/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
GF
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
CLAYMORE SECURITIES, INC. | RANSON & ASSOCIATES INC. | GUGGENHEIM PARTNERS | GUGGENHEIM INVESTMENTS | GUGGENHEIM GLOBAL INVESTMENTS | GUGGENHEIM FUNDS DISTRIBUTORS, LLC | GUGGENHEIM FUNDS DISTRIBUTORS, INC. | GUGGENHEIM
CRD#: 39805 / SEC#: 801-54810, 8-48842
RIA
Registered Investment Advisory firm - SEC (8/26/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
227 West Monroe Street 7th Floor, Chicago, IL 60606
Mailing Address
702 King Farm Blvd Ste 200, Rockville, MD 20850
Phone number
(312) 357-0287
Established
Delaware since 11/09/1995
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
250
SEC notice filing (2 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GUGGENHEIM FUNDS SERVICES, LLC | MEMBER | |
| CHAN, YING | FINANCIAL AND OPERATIONS PRINCIPAL | 4956885 |
| COGLIANDRO, DOMINICK NMN | CHIEF OPERATING OFFICER, UNIT INVESTMENT TRUST BUSINESS | 1490945 |
| DILORENZO, DINA MARIE | PRESIDENT OF THE BROKER DEALER, GUGGENHEIM FUNDS DISTRIBUTORS, LLC | 2664787 |
| LEE, AMY JO | GENERAL COUNSEL, SECRETARY, AND SENIOR MANAGING DIRECTOR | 1161869 |
| METZGER, DENNIS RYAN | CHIEF COMPLIANCE OFFICER | 4888899 |
| MILLER, ELISABETH ANN | SENIOR MANAGING DIRECTOR | 4381813 |
| PARISI, CHRISTOPHER VITO | HEAD OF DISTRIBUTION, SENIOR MANAGING DIRECTOR | 2410528 |
Regulatory assets under management
| Total Number of Accounts | 279 |
| AUM (Assets Under Management) | $ 6,850,185,742 |
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.
