CJ
Christopher J. Juall
MOORS & CABOT
Englewood, FL 34224
Some features on this profile are disabled
CRD#: 2170381
CJ
Professional summary
Christopher John Juall, who also goes by Chirs Juall, Chris Juall, is a registered financial advisor currently at MOORS & CABOT, INC. located in Englewood, Florida.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Christopher has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7, Series 9, Series 10 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chirs Juall | Chris Juall
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.
1) OWNER OF LAZY PRODUCTS, LLC PARTNER SELLING WATER FLOATS FOR FUN. NON SECURITIES RELATED. 2) Owner/Manager of TQC Education, LLC. Selling online boating courses. Non securities related.
CRS (Client Relationship Summary) - RIA
Click below to view Christopher John Juall's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Christopher John Juall'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®
NoneExperience
Current
August 3, 2007 - Present
MOORS & CABOT, INC.
Office #1: Seafoam Village 2800 Placida Rd Unit 103, Englewood, FL 34224RIA
BD
CRD#: 594
Englewood, FL
Current
June 20, 2008 - Present
MOORS & CABOT, INC.
Office #1: Seafoam Village 2800 Placida Rd Unit 103, Englewood, FL 34224RIA
BD
CRD#: 594
Englewood, FL
Past
September 3, 2008 - July 14, 2014
LEMON BAY ASSET MANAGEMENT, INC.
RIA
CRD#: 146971
ENGLEWOOD, FL
Past
July 15, 2005 - June 20, 2008
MOORS & CABOT FINANCIAL ADVISORS, LLC
BD
CRD#: 132798
ENGLEWOOD, FL
Past
August 13, 2004 - January 4, 2007
SOUTHERN TRUST FINANCIAL PLANNING
RIA
CRD#: 131377
SARASOTA, FL
Past
January 13, 2003 - August 2, 2007
MOORS & CABOT INC
RIA
CRD#: 110869
SARASOTA, FL
Past
March 19, 1999 - August 21, 2006
MOORS & CABOT, INC.
BD
CRD#: 594
ENGLEWOOD, FL
Past
December 17, 1996 - April 13, 1999
FIRST SOUTHEASTERN SECURITIES GROUP, INCORPORATED
BD
CRD#: 14538
TAMPA, FL
Past
December 12, 1995 - December 10, 1996
MATRIX CAPITAL GROUP, INC.
BD
CRD#: 33364
NEW YORK, NY
Past
October 21, 1991 - November 3, 1995
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
September 19, 1991 - October 21, 1991
BILTMORE SECURITIES, INC.
BD
CRD#: 25023
FT. LAUDERDALE, FL
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MOORS & CABOT, INC.
MOORS & CABOT FINANCIAL ADVISORS | MOORS & CABOT, INC. | MOORS & CABOT, INC
CRD#: 594 / SEC#: 801-48726, 8-23060
RIA
Registered Investment Advisory firm - SEC (3/30/1995 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Arkansas(6/16/2022)
RR
California(5/28/2009)
RR
Colorado(8/14/2008)
RR
Connecticut(6/30/2008)
RR
District of Columbia(9/18/2024)
IAR
Florida(8/3/2007)
RR
Florida(6/25/2008)
RR
Georgia(3/13/2013)
RR
Illinois(7/2/2014)
RR
Indiana(6/26/2008)
RR
Maine(5/2/2025)
RR
Maryland(10/7/2019)
RR
Massachusetts(6/23/2008)
RR
Michigan(6/23/2008)
RR
Minnesota(6/30/2008)
RR
Missouri(12/15/2022)
RR
New Hampshire(5/2/2025)
RR
New Jersey(6/20/2008)
RR
New York(10/29/2018)
RR
North Carolina(6/23/2008)
RR
Pennsylvania(3/25/2011)
RR
Rhode Island(4/4/2023)
RR
South Carolina(6/24/2008)
RR
Tennessee(8/9/2024)
RR
Texas(11/2/2021)
RR
Vermont(5/2/2025)
RR
Virginia(2/19/2015)
RR
Washington(3/17/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
MOORS & CABOT, INC.
MOORS & CABOT FINANCIAL ADVISORS | MOORS & CABOT, INC. | MOORS & CABOT, INC
CRD#: 594 / SEC#: 801-48726, 8-23060
RIA
Registered Investment Advisory firm - SEC (3/30/1995 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Federal Street 19th Floor, Boston, MA 02110
Mailing Address
One Federal Street 19th Floor, Boston, MA 02110
Phone number
(617) 426-0500
Established
Massachusetts since 07/05/1978
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
121
SEC notice filing (35 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EIGHTEEN NINETY PARTNERS, LLC | SHAREHOLDER | |
| BRAUN, MICHAEL CHARLES | EVP/COO/DIRECTOR | 2005370 |
| CUETARA, JOSEPH PHILIP | SVP FIXED INCOME/MUNICIPAL PRINCIPAL | 58308 |
| GARRETT, MARK DAVID | DIRECTOR/CO-CHAIRMAN/TRUSTEE | 5563014 |
| HILDRETH, MICHAEL CHRISTOPHER | EVP/CFO/FINOP/PRESIDENT/CEO/DIRECTOR | 2386839 |
| JOYCE, DANIEL MICHAEL | DIRECTOR | 1060819 |
| KELLIHER, KATHERINE ROSE | SVP & CHIEF COMPLIANCE OFFICER | 4146307 |
Regulatory assets under management
| Total Number of Accounts | 5,074 |
| AUM (Assets Under Management) | $ 3,437,764,388 |
Disclosures
| Regulatory Event | 30 |
| Arbitration | 3 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2025 | ||
| 12/04/2023 | ||
| 01/12/2023 |
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.
