Christopher C. Cavanagh
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 Curtis Cavanagh, CIMA®, who also goes by Chris Cavanagh, Christopher C Cavanagh, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1992. Christopher had worked at 8 firms and has passed the Series 66, 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
July 22, 2011 - December 31, 2022
VANGUARD MARKETING CORPORATION
September 10, 2009 - June 13, 2011
GOLDMAN SACHS & CO. LLC
January 31, 2006 - October 27, 2008
ALLIANCEBERNSTEIN L.P.
January 31, 2006 - October 27, 2008
ALLIANCEBERNSTEIN INVESTMENTS, INC.
May 18, 2005 - January 3, 2006
NATIONWIDE INVESTMENT SERVICES CORPORATION
February 28, 2003 - January 3, 2006
NATIONWIDE INVESTMENT SERVICES CORPORATION
March 3, 1998 - December 13, 2002
SEI INVESTMENTS DISTRIBUTION CO.
June 20, 1994 - January 8, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 18, 1992 - December 31, 1993
CINCINNATI ANALYSTS, 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
VANGUARD MARKETING CORPORATION
CRD#: 7452 / SEC#: , 8-21570
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | |
| BENCHENER, MATTHEW JOHN | CHAIRMAN, PRESIDENT, DIRECTOR, CEO-DESIGNEE | 5569805 |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BISORDI, JOHN | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 7526828 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRANCATO, MATTHEW CLARK | DIRECTOR, VICE PRESIDENT | 6220380 |
| JAMES, JOHN MARK | DIRECTOR, SENIOR VICE PRESIDENT | 5594356 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 8 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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