CT
Christopher L. Tota
SOUTHSTATE SECURITIES
Memphis (shelby), TN 38138-7424
Some features on this profile are disabled
CRD#: 1847033
CT
Professional summary
Christopher Louis Tota, who also goes by Chris Tota, Christopher Louis Tota Mr, Christopher Louis Tota, is a registered financial professional currently at SOUTHSTATE SECURITIES CORP. located in Memphis (shelby), Tennessee.
Christopher is registered as a RR (Registered Representative) and started their career in finance in 1991. Christopher has worked at 7 firms and has passed the Series 63, SIE, Series 52 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Chris Tota | Christopher Louis Tota Mr | Christopher Louis Tota
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 Louis Tota'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
March 30, 2026 - Present
SOUTHSTATE SECURITIES CORP.
Office #1: 6750 Poplar Avenue Suite 300, Memphis (shelby), TN 38138-7424BD
CRD#: 6950
Memphis (shelby), TN
Past
December 21, 2023 - April 1, 2026
CANTOR FITZGERALD & CO.
BD
CRD#: 134
MEMPHIS, TN
Past
March 17, 2017 - April 3, 2023
MESIROW FINANCIAL, INC.
BD
CRD#: 2764
Brentwood, TN
Past
April 4, 2014 - January 20, 2017
WILLIAM BLAIR
BD
CRD#: 1252
LOS ANGELES, CA
Past
August 12, 2008 - April 9, 2014
E.J. DE LA ROSA & CO., INC.
BD
CRD#: 25334
LOS ANGELES, CA
Past
November 18, 1999 - July 18, 2008
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
June 21, 1991 - November 10, 1999
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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(3/30/2026)
RR
Alaska(3/30/2026)
RR
Arizona(3/30/2026)
RR
Arkansas(3/30/2026)
RR
California(3/30/2026)
RR
Colorado(3/30/2026)
RR
Connecticut(3/30/2026)
RR
Delaware(3/30/2026)
RR
District of Columbia(3/30/2026)
RR
Florida(3/30/2026)
RR
Georgia(3/30/2026)
RR
Hawaii(3/30/2026)
RR
Idaho(3/30/2026)
RR
Illinois(3/30/2026)
RR
Indiana(3/30/2026)
RR
Iowa(3/30/2026)
RR
Kansas(3/30/2026)
RR
Kentucky(3/30/2026)
RR
Louisiana(3/30/2026)
RR
Maryland(3/30/2026)
RR
Massachusetts(3/30/2026)
RR
Michigan(3/30/2026)
RR
Minnesota(3/30/2026)
RR
Mississippi(3/30/2026)
RR
Missouri(3/30/2026)
RR
Montana(3/30/2026)
RR
Nevada(3/30/2026)
RR
New Hampshire(3/30/2026)
RR
New Jersey(3/30/2026)
RR
New Mexico(3/30/2026)
RR
New York(3/30/2026)
RR
North Carolina(3/30/2026)
RR
Ohio(3/30/2026)
RR
Oklahoma(3/30/2026)
RR
Oregon(3/30/2026)
RR
Pennsylvania(3/30/2026)
RR
Puerto Rico(3/30/2026)
RR
Rhode Island(3/30/2026)
RR
South Carolina(3/30/2026)
RR
South Dakota(3/30/2026)
RR
Tennessee(3/30/2026)
RR
Texas(3/30/2026)
RR
Utah(3/30/2026)
RR
Virgin Islands(3/30/2026)
RR
Virginia(3/30/2026)
RR
Washington(3/30/2026)
RR
West Virginia(3/30/2026)
RR
Wisconsin(3/30/2026)
RR
Wyoming(3/30/2026)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SS
SOUTHSTATE SECURITIES CORP.
A. DUNCAN WILLIAMS, INC. | SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP. | SOUTHSTATE SECURITIES CORP. | DUNCAN-WILLIAMS, INC. | DUNCAN-WILLIAMS WEALTH MANAGEMENT GROUP
CRD#: 6950 / SEC#: 801-68820, 8-18971
BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
6750 Poplar Avenue Suite 300, Memphis (shelby), TN 38138-7424
Mailing Address
6750 Poplar Avenue Suite 300, Memphis (shelby), TN 38138-7424
Phone number
(901) 260-6800
Established
Tennessee since 03/31/1969
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (49 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SOUTHSTATE BANK, NATIONAL ASSOCIATION | OWNER | |
| BONONNO, JOSEPH KEMP | CHIEF FINANCIAL OFFICER | 7437632 |
| CHERRY, JAMES CROWELL | CHIEF COMPLIANCE OFFICER | 2870353 |
| HODGES, STUART LEE | SVP, PRESIDENT | 7370566 |
| HOWARD, HEATHER DIANE | CORPORATE SECRETARY/COMPLIANCE OFFICER | 4349745 |
| TUCKER, KIMBERLY SHAY | OPERATIONS MANAGER - PRINCIPAL OPERATIONS OFFICER | 7370391 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 1 |
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
SOUTHSTATE SECURITIES CORP.
CRD#: 6950Memphis (shelby), TN 38138-7424TRUST BUT VERIFY
Monitor Christopher Tota
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
