Christopher Walsh
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 Walsh, CFP®, who also goes by Chris Walsh, Christohper Walsh, Christopher Walsh, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1990. Christopher had worked at 13 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
May 24, 2019 - June 22, 2026
FORESIDE FUND SERVICES, LLC
March 23, 2018 - February 4, 2019
AUSDAL FINANCIAL PARTNERS, INC.
November 28, 2016 - December 31, 2017
BOK FINANCIAL SECURITIES, INC.
November 23, 2016 - December 31, 2017
BOK FINANCIAL SECURITIES, INC.
February 25, 2014 - January 29, 2016
GUGGENHEIM INVESTMENTS
March 8, 2012 - January 29, 2016
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
November 2, 2010 - March 15, 2012
ADVISORS ASSET MANAGEMENT, INC.
June 28, 2010 - March 15, 2012
ADVISORS ASSET MANAGEMENT, INC.
January 23, 2008 - June 4, 2010
INVESCO CAPITAL MARKETS, INC.
September 17, 1997 - January 15, 2008
FIRST TRUST PORTFOLIOS L.P.
May 3, 1995 - September 29, 1997
INVESCO CAPITAL MARKETS, INC.
February 1, 1995 - April 21, 1995
DWS DISTRIBUTORS, INC.
May 20, 1992 - February 1, 1995
KEMPER FINANCIAL SERVICES, INC.
March 14, 1991 - November 25, 1991
NUVEEN SECURITIES, LLC
January 15, 1991 - March 25, 1991
INVESTACORP, INC.
July 20, 1990 - September 28, 1990
H.J. MEYERS & CO., 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
Current Firm
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
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.
