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Christopher S. Chase

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CRD#: 1938037
CC

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 Scott Chase, who also goes by Chris Chase, was a registered financial professional .

Christopher is a previously registered financial professional and started their career in finance in 1989. Christopher had worked at 11 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chris Chase

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 26, 2020 - June 2, 2022

AUERBACH GRAYSON & COMPANY LLC

BD
CRD#: 30761
NEW YORK, NY
Past

March 17, 2020 - July 24, 2020

ROSENBLATT SECURITIES INC.

BD
CRD#: 18377
NEW YORK, NY
Past

September 15, 2014 - March 16, 2020

CHINA RENAISSANCE SECURITIES (US) INC.

BD
CRD#: 166318
NEW YORK, NY
Past

February 21, 2012 - September 17, 2013

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

June 14, 2007 - February 13, 2012

INSTINET, LLC

BD
CRD#: 7897
NEW YORK, NY
Past

May 21, 2004 - June 11, 2007

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

January 21, 1999 - August 15, 2002

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

April 29, 1997 - October 13, 1998

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

March 27, 1996 - May 20, 1997

NATWEST SECURITIES CORPORATION

BD
CRD#: 18238
NEW YORK, NY
Past

September 16, 1994 - February 29, 1996

SOCGEN-CROSBY SECURITIES INC.

BD
CRD#: 30442
Past

June 20, 1989 - June 3, 1994

ING BARING (U.S.) SECURITIES, INC.

BD
CRD#: 5285
NEW YORK, NY

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
RR
Series 63
Date: 5/24/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 6/8/2010
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 5/20/2004
General Securities Representative Examination

Current Firm

AG
AUERBACH GRAYSON & COMPANY LLC
AGCO | JL AUERBACH & COMPANY INCORPORATED | AUERBACH GRAYSON & COMPANY LLC | AUERBACH GRAYSON & COMPANY INCORPORATED | AUERBACH GRAYSON & CO. | AUERBACH GRAYSON | AUERBACH

CRD#: 30761 / SEC#: , 8-45136

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
20w 55th Street 4th Floor, New York, NY 10019
Mailing Address
20w 55th Street, New York, NY 10019
Phone number
(212) 557-4444
Established
Delaware since 01/29/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (13 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
HDH GLOBAL LLCOWNER
AIKINS, GIL OCCO / CLO5157274
BHATNAGAR, NIKHILCHIEF EXECUTIVE OFFICER5874592
HEWITT, MICHAEL THOMAS JRFINOP6594844
MANDEL, SIMON MARKOVICHBOARD MEMBER5824632
TOKATLILAR, LEONGLOBAL HEAD OF OPERATIONS5838809

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

AUERBACH GRAYSON & COMPANY LLC

CRD#: 30761

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