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CA

Christopher S. Alpaugh

HAMILTON LANE SECURITIES
Conshohocken, PA 19428
Some features on this profile are disabled
CRD#: 2125702
CA

Professional summary

Christopher Sutton Alpaugh, CIMA®, who also goes by Christopher Sutton Alpaugh, Christopher Alpaugh, is a registered financial professional currently at HAMILTON LANE SECURITIES LLC located in Conshohocken, Pennsylvania.

Christopher is registered as a RR (Registered Representative) and started their career in finance in 1992. Christopher has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Christopher Sutton Alpaugh | Christopher Alpaugh

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) - BD

Click below to view Christopher Sutton Alpaugh'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®
CIMA®

Certified Investment Management Analyst

Experience

Current

May 8, 2026 - Present

HAMILTON LANE SECURITIES LLC

Office #1: 110 Washington Street Suite 1300, Conshohocken, PA 19428
BD
CRD#: 281510
Conshohocken, PA
Past

August 9, 2010 - April 9, 2026

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
DARIEN, CT
Past

October 5, 2004 - July 14, 2010

ALLIANCEBERNSTEIN L.P.

RIA
CRD#: 108477
NEW YORK, NY
Past

September 21, 2004 - July 14, 2010

ALLIANCEBERNSTEIN INVESTMENTS, INC.

BD
CRD#: 14549
NEW YORK, NY
Past

January 29, 2002 - November 9, 2004

PUTNAM INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 106629
BOSTON, MA
Past

June 15, 1992 - August 31, 2004

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

BD
CRD#: 7325
BOSTON, MA

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
(5/8/2026)
RR
Alaska
(5/8/2026)
RR
Arizona
(5/8/2026)
RR
Arkansas
(5/8/2026)
RR
California
(5/8/2026)
RR
Colorado
(5/8/2026)
RR
Connecticut
(5/8/2026)
RR
Delaware
(5/8/2026)
RR
District of Columbia
(5/8/2026)
RR
Florida
(5/8/2026)
RR
Georgia
(5/8/2026)
RR
Hawaii
(5/8/2026)
RR
Idaho
(5/8/2026)
RR
Illinois
(5/8/2026)
RR
Indiana
(5/8/2026)
RR
Iowa
(5/8/2026)
RR
Kansas
(5/8/2026)
RR
Kentucky
(5/8/2026)
RR
Louisiana
(5/8/2026)
RR
Maine
(5/8/2026)
RR
Maryland
(5/8/2026)
RR
Massachusetts
(5/8/2026)
RR
Michigan
(5/8/2026)
RR
Minnesota
(5/8/2026)
RR
Mississippi
(5/8/2026)
RR
Missouri
(5/8/2026)
RR
Montana
(5/8/2026)
RR
Nebraska
(5/8/2026)
RR
Nevada
(5/8/2026)
RR
New Hampshire
(5/8/2026)
RR
New Jersey
(5/8/2026)
RR
New Mexico
(5/8/2026)
RR
New York
(5/8/2026)
RR
North Carolina
(5/8/2026)
RR
North Dakota
(5/8/2026)
RR
Ohio
(5/9/2026)
RR
Oklahoma
(5/8/2026)
RR
Oregon
(5/8/2026)
RR
Pennsylvania
(5/8/2026)
RR
Rhode Island
(5/8/2026)
RR
South Carolina
(5/8/2026)
RR
South Dakota
(5/8/2026)
RR
Tennessee
(5/8/2026)
RR
Texas
(5/8/2026)
RR
Utah
(5/8/2026)
RR
Vermont
(5/8/2026)
RR
Virginia
(5/8/2026)
RR
Washington
(5/8/2026)
RR
West Virginia
(5/8/2026)
RR
Wisconsin
(5/8/2026)
RR
Wyoming
(5/8/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/5/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/16/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/21/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/11/1992
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 51
Date: 10/31/2017
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/18/2010
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

HL
HAMILTON LANE SECURITIES LLC
HAMILTON LANE SECURITIES LLC

CRD#: 281510 / SEC#: , 8-69675

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
Loading...

Contact information

Main Address
110 Washington Street Suite 1300, Conshohocken, PA 19428
Mailing Address
110 Washington Street Suite 1300, Conshohocken, PA 19428
Phone number
(610) 934-2222
Established
Delaware since 08/17/2015
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
HAMILTON LANEMEMBER107876
BRENNAN, STEPHEN RICHARD JRCHIEF EXECUTIVE OFFICER2488932
ROMERO, MONIQUE VICTORIAFINOP6712654
SHIN, ROBERTCHIEF COMPLIANCE OFFICER2683514

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

HAMILTON LANE SECURITIES LLC

CRD#: 281510Conshohocken, PA 19428

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