Christopher D. Hall
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 Douglas Hall, who also goes by Chris Hall, Christopher Hall, Christopher Douglas Hall, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1995. Christopher had worked at 13 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 26, 2021 - July 23, 2024
OPPENHEIMER & CO. INC.
May 17, 2018 - July 23, 2020
UMB FINANCIAL SERVICES, INC.
May 19, 2017 - August 1, 2017
WILLIAM BLAIR
February 22, 2016 - May 11, 2017
HILLTOP SECURITIES INC.
October 10, 2015 - February 3, 2016
PIPER SANDLER & CO.
June 8, 2012 - October 19, 2015
BMO CAPITAL MARKETS GKST INC.
July 29, 2010 - May 29, 2012
INSPEREX LLC
April 14, 2009 - June 30, 2010
PMA SECURITIES, LLC
August 22, 2008 - April 7, 2009
BMO CAPITAL MARKETS GKST INC.
January 5, 2005 - March 2, 2007
FIFTH THIRD SECURITIES, INC.
April 22, 2003 - December 17, 2004
LASALLE FINANCIAL SERVICES, INC.
March 13, 2002 - April 17, 2003
BANC ONE CAPITAL MARKETS, INC.
January 2, 2001 - March 14, 2002
STEPHENS
October 2, 2000 - November 28, 2000
LASALLE FINANCIAL SERVICES, INC.
October 19, 1995 - October 3, 2000
ABN AMRO INCORPORATED
Primary Firm SEC Registration
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VINER FINANCE INC. | PARENT CO. | |
| CASSIDY, THOMAS EDWARD | MANAGING DIRECTOR | 4502955 |
| GIORDANO, PETER JOHN | MANAGING DIRECTOR-CHIEF ADMINISTRATIVE OFFICER | 2921308 |
| HARRINGTON, EDWARD PATRICK | EXECUTIVE VICE PRESIDENT - PRIVATE CLIENT SERVICES | 2566682 |
| LOWENTHAL, ALBERT GRINSFELDER | EXECUTIVE CHAIRMAN-DIRECTOR-OWNS 100% OF PHASE II FIN'L | 313519 |
| LOWENTHAL, ROBERT STEVEN | CEO-PRESIDENT-DIRECTOR | 1639913 |
| MCNAMARA, DENNIS PATRICK | E.V.P./CLO/SECRETARY | 2938486 |
| MOLOKIE JR, LEON E | EXECUTIVE VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 1743402 |
| VALENTINO, DOMINIC THOMAS | CHIEF COMPLIANCE OFFICER | 6940515 |
| WATKINS, BRAD MICHAEL | DIRECTOR-EXECUTIVE VICE PRESIDENT-CFO | 6319251 |
Regulatory assets under management
| Total Number of Accounts | 37,605 |
| AUM (Assets Under Management) | $ 32,418,994,154 |
Disclosures
| Regulatory Event | 102 |
| Civil Event | 1 |
| Arbitration | 180 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 10/25/2023 | ||
| 02/24/2023 |
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.
