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CM

Christopher F. Mayo

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CRD#: 1963353
CM

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 Foster Mayo was a registered financial professional .

Christopher is a previously registered financial professional and started their career in finance in 1998. Christopher had worked at 3 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

June 22, 2006 - June 28, 2013

PROBITAS FUNDS GROUP, LLC

BD
CRD#: 115876
SAN FRANCISCO, CA
Past

October 3, 2003 - August 1, 2005

GFP BROKER-DEALER, INC.

BD
CRD#: 104441
SAN FRANCISCO, CA
Past

December 24, 1998 - June 9, 1999

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
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: 10/6/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/1/2003
General Securities Representative Examination

Current Firm

PF
PROBITAS FUNDS GROUP, LLC
PROBITAS FUNDS GROUP, LLC

CRD#: 115876 / SEC#: , 8-53512

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
425 California Street Suite 550, San Francisco, CA 94104
Mailing Address
425 California Street Suite 550, San Francisco, CA 94104
Phone number
(415) 402-0700
Established
Delaware since 07/25/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (24 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
PROBITAS PARTNERS, L.P.OWNER
HAUSLER, GREG WILLIAMCHIEF COMPLIANCE OFFICER
O'SULLIVAN, SINEAD MAIRECFO, FINOP, PFO, POO5823131
TSAO, RAYMOND W.EXECUTIVE REPRESENTATIVE4688979

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

PROBITAS FUNDS GROUP, LLC

CRD#: 115876

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