CH
Christine S. Hagopian
BROWN, LISLE/CUMMINGS
Providence, RI 02903
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CRD#: 1845199
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Professional summary
Christine Saugy Hagopian, who also goes by Christine S Hagopian, Christine Elizabeth Saugy, Christine Elizabeth Saugyhagopian, is a registered financial professional currently at BROWN, LISLE/CUMMINGS, INC. located in Providence, Rhode Island.
Christine is registered as a RR (Registered Representative) and started their career in finance in 1994. Christine has worked at 4 firms and has passed the Series 63, Series 11 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Christine S Hagopian | Christine Elizabeth Saugy | Christine Elizabeth Saugyhagopian
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 Christine Saugy Hagopian'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
December 14, 2010 - Present
BROWN, LISLE/CUMMINGS, INC.
Office #1: One Turks Head Place - Suite 800, Providence, RI 02903Office #2: One Turks Head Place - Suite 800, Providence, RI 02903-2273RIA
BD
CRD#: 1331
Providence, RI
Past
June 11, 2003 - March 31, 2004
CANTELLA & CO., INC.
BD
CRD#: 13905
MALDEN, MA
Past
March 21, 1997 - June 15, 2001
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
JOHNSTON, RI
Past
February 14, 1994 - February 2, 1996
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
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".
BROWN, LISLE/CUMMINGS, INC.
BROWN, LISLE & MARSHALL, INCORPORATED | BROWN, LISLE/CUMMINGS, INC. | BROWN, LISLE/CUMMINGS, INC
CRD#: 1331 / SEC#: 801-121156, 8-12716
RIA
Registered Investment Advisory firm - SEC (5/6/2021 Approved)Connecticut
Registered Investment Advisory firm - SEC (5/11/2021 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (5/10/2021 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (5/10/2021 Terminated)Texas
Registered Investment Advisory firm - SEC (2/11/2010 Terminated)Washington
Registered Investment Advisory firm - SEC (6/10/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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
State Security Law Exam
General Industry/Product Exam
RR
Series 11
Date: 12/13/2010
Assistant Representative-Order Processing Qualification ExamGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BROWN, LISLE/CUMMINGS, INC.
BROWN, LISLE & MARSHALL, INCORPORATED | BROWN, LISLE/CUMMINGS, INC. | BROWN, LISLE/CUMMINGS, INC
CRD#: 1331 / SEC#: 801-121156, 8-12716
RIA
Registered Investment Advisory firm - SEC (5/6/2021 Approved)Connecticut
Registered Investment Advisory firm - SEC (5/11/2021 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (5/10/2021 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (5/10/2021 Terminated)Texas
Registered Investment Advisory firm - SEC (2/11/2010 Terminated)Washington
Registered Investment Advisory firm - SEC (6/10/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Turks Head Place - Suite 800 Suite 800, Providence, RI 02903
Mailing Address
One Turks Head Place - Suite 800, Providence, RI 02903-2273
Phone number
(401) 421-8900
Established
Rhode Island since 12/13/1965
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
12
SEC notice filing (13 States and Territories)
FINRA licenses (35 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IZZI, DAVID ANTHONY | PRESIDENT; SECRETARY; TREASURER; CHIEF COMPLIANCE OFFICER | 2027961 |
| LISLE, SCOTT SAWYER | VICE PRESIDENT | 2220388 |
| MARGINSON, JOHN ARTHUR | VICE PRESIDENT | 860727 |
| MCGINN, JOSEPH HUGH JR | VICE PRESIDENT | 2354164 |
| MURPHY, LOUIS GEORGE JR | VICE PRESIDENT | 1162141 |
| TRACY, CLIFFORD BURRELL JR | VICE PRESIDENT | 1213468 |
Regulatory assets under management
| Total Number of Accounts | 445 |
| AUM (Assets Under Management) | $ 414,675,665 |
Disclosures
| Regulatory Event | 7 |
Red Flags
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Company Information
BROWN, LISLE/CUMMINGS, INC.
CRD#: 1331Providence, RI 02903TRUST BUT VERIFY
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