Christopher M. Rizzi
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 Martin Rizzi was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1989. Christopher had worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 19, 2019 - May 1, 2023
ALPS DISTRIBUTORS, INC.
November 26, 2014 - November 3, 2017
TOUCHSTONE SECURITIES, INC.
January 2, 2014 - November 25, 2014
ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.
August 19, 2010 - December 31, 2013
ALPS DISTRIBUTORS, INC.
January 8, 2009 - July 19, 2010
TRANSAMERICA CAPITAL, LLC
February 8, 2006 - January 9, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
August 5, 2002 - January 9, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
July 28, 1998 - July 25, 2002
AMUNDI DISTRIBUTOR US, INC.
August 12, 1996 - May 5, 1998
MARKETING ONE SECURITIES, INC.
July 3, 1996 - August 5, 1996
IFMG SECURITIES, INC.
April 15, 1996 - August 29, 1996
CAPITAL BROKERAGE CORPORATION
September 14, 1993 - January 15, 1996
IFMG SECURITIES, INC.
January 9, 1992 - November 3, 1993
FIRST COLONIAL INVESTMENT SERVICES, INC.
October 22, 1990 - April 2, 1991
BARING & BROWN, INC.
January 24, 1989 - October 30, 1990
ROYCE PARK INVESTMENTS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ALPS DISTRIBUTORS, INC.
CRD#: 16853 / SEC#: , 8-34626
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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