Christian Alan Cornell
Professional Summary
Christian Alan Cornell, who also goes by Chris Cornell, is a registered financial advisor currently at CARTY, HARDING & HEARN, INC. located in Memphis, Tennessee. Christian is registered as a RR (Registered Representative) and started their career in finance in 2004. Christian has worked at 1 firm and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Chris Cornell
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
34 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
CARTY & COMPANY, INC. | CHH | CARTY, HARDING, & HEARN, INC. | CARTY, HARDING & HEARN, INC. | CARTY, HARDING & HEARN
Contact Information
Main Address
6263 Poplar Avenue Suite 800, Memphis, TN 38119Mailing Address
P.o. Box 17527, Memphis, TN 38187-0527Phone Number
(901) 767-8940Established
Tennessee since 10/07/1970Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(1/28/1993)
(8/6/1992)
(10/7/1992)
(7/7/2006)
(9/14/1993)
(9/9/1993)
(8/21/1996)
(12/20/1993)
(9/9/1993)
(10/7/1992)
(9/10/1993)
(2/2/1993)
(10/30/2007)
(2/28/2008)
(1/14/1993)
(2/8/2002)
(9/23/2010)
(1/13/2010)
(2/9/2017)
(8/4/2009)
(11/17/2009)
(9/7/2006)
(6/19/2012)
(10/22/1997)
(5/27/1992)
(2/12/1993)
(4/25/2014)
(5/31/2007)
(9/13/2017)
(9/9/1993)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Christian Alan Cornell's CRS (Customer Relationship Summary).
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