CP
Christopher B. Pease
MMC SECURITIES LLC
Cleveland, OH 44114
Some features on this profile are disabled
CRD#: 1919880
CP
Professional summary
Christopher Brian Pease, who also goes by Chris Pease, is a registered financial professional currently at MMC SECURITIES LLC located in Cleveland, Ohio.
Christopher is registered as a RR (Registered Representative) and started their career in finance in 1989. Christopher has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Chris Pease
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 Brian Pease'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
January 8, 2003 - Present
MMC SECURITIES LLC
Office #1: 200 Public Square, Cleveland, OH 44114BD
CRD#: 103846
Cleveland, OH
Past
September 1, 2010 - March 11, 2020
MMC SECURITIES LLC
RIA
CRD#: 103846
CLEVELAND, OH
Past
August 5, 1997 - December 20, 2002
KEYBANC CAPITAL MARKETS INC.
BD
CRD#: 566
CLEVELAND, OH
Past
March 6, 1989 - August 4, 1997
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
March 6, 1989 - August 4, 1997
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
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(1/10/2013)
RR
Delaware(2/24/2010)
RR
Florida(5/8/2006)
RR
Georgia(1/10/2013)
RR
Illinois(4/2/2003)
RR
Indiana(1/8/2003)
RR
Iowa(2/14/2006)
RR
Kansas(2/14/2006)
RR
Kentucky(1/8/2003)
RR
Massachusetts(7/12/2010)
RR
Michigan(1/8/2003)
RR
Minnesota(2/14/2006)
RR
Missouri(1/8/2003)
RR
Nebraska(2/14/2006)
RR
New Jersey(2/24/2010)
RR
New York(10/25/2006)
RR
North Carolina(10/9/2012)
RR
North Dakota(9/12/2006)
RR
Ohio(1/8/2003)
RR
Oregon(10/21/2016)
RR
Pennsylvania(2/9/2006)
RR
South Carolina(10/29/2003)
RR
South Dakota(11/19/2014)
RR
Tennessee(5/10/2011)
RR
Texas(1/10/2013)
RR
Vermont(10/5/2007)
RR
Wisconsin(2/14/2006)
Exams
State Security Law Exam
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
MS
MMC SECURITIES LLC
MARSH INSURANCE & INVESTMENTS CORP. | MMC SECURITIES LLC | MMC SECURITIES CORP. | MMC SECURITIES CORP | MMA NEW ENGLAND | MMA - BARNEY AND BARNEY | MIIC INSURANCE SERVICES CORP | MERCER H & B EXECUTIVE BENEFITS | MERCER DC ADVISORS; MMA NEW ENGLAND; MERCER H & B EXEC. BENEFITS | MERCER DC ADVISORS | MARSH INSURANCE AGENCY & INVESTMENTS CORP | MARSH INSURANCE & INVESTMENTS CORPORATION
CRD#: 103846 / SEC#: 801-60515, 8-52349
BD
Broker-Dealer Firm Regulated by FINRA (New York 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
1166 Avenue Of The Americas 31st Floor, New York, NY 10036
Mailing Address
1166 Avenue Of The Americas, New York, NY 10036
Phone number
(212) 345-5000
Established
Delaware since 04/01/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MARSH INSURANCE & INVESTMENTS LLC | SOLE MEMBER | |
| BLACKMORE, KIMBERLY LYNN | FINOP PRINCIPAL, CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, DIRECTOR AND TREASURER | 2219307 |
| HUM, CHI HONG | PRESIDENT, ASSISTANT SECRETARY AND DIRECTOR | 1620728 |
| KEANE, DARREN PETER | DEPUTY CCO, DIRECTOR | 6900143 |
| KUMAR, SHIV | CEO AND DIRECTOR | 3165711 |
| MA, JOHN SUNG | PRINCIPAL OPERATIONS OFFICER | 5858075 |
| WEINSTOCK, JUDITH ANN | CCO, DIRECTOR AND SECRETARY | 8096565 |
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.
