Christopher J. Loto
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 Joseph Loto, who also goes by Chris Loto, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1997. Christopher had worked at 14 firms and has passed the Series 66, Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 2019 - April 29, 2022
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 15, 2019 - April 29, 2022
RAYMOND JAMES & ASSOCIATES, INC.
March 14, 2019 - April 29, 2022
RAYMOND JAMES & ASSOCIATES, INC.
January 8, 2018 - March 4, 2019
USAA INVESTMENT SERVICES COMPANY
May 28, 2015 - January 8, 2018
USAA FINANCIAL PLANNING SERVICES
March 30, 2015 - March 4, 2019
USAA FINANCIAL ADVISORS, INC.
May 4, 2012 - March 5, 2015
ARIA CAPITAL ADVISORS, LLC
April 16, 2008 - August 29, 2011
CALTON & ASSOCIATES, INC.
April 15, 2008 - August 29, 2011
CALTON & ASSOCIATES, INC.
January 17, 2008 - April 17, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
January 1, 2008 - April 17, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
April 20, 2001 - August 3, 2002
LOCUST STREET SECURITIES, INC.
June 15, 1998 - April 5, 2001
STELLAR INVESTMENTS, INC.
February 10, 1998 - June 5, 1998
SECURITIES AMERICA, INC.
July 9, 1997 - November 10, 1997
ABBEY-ASHFORD SECURITIES, INC.
June 23, 1997 - July 21, 1997
BRAUER & ASSOCIATES, INC.
June 10, 1997 - June 23, 1997
GUNNALLEN FINANCIAL, INC
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
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.
