Christopher R. Walsh
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 Rall Walsh, who also goes by Chris Walsh, 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, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 9, 2015 - June 16, 2021
SMEAD FUNDS DISTRIBUTORS, LLC
November 3, 2014 - February 10, 2015
FORESIDE FUND SERVICES, LLC
May 22, 2009 - February 20, 2014
ETICO PARTNERS, LLC
November 11, 2004 - July 28, 2008
VP DISTRIBUTORS LLC
July 22, 1998 - October 1, 2004
NATIXIS DISTRIBUTION, LLC
January 17, 1997 - July 7, 1998
FIDELITY DISTRIBUTORS COMPANY LLC
October 15, 1993 - January 7, 1997
VOYA FINANCIAL PARTNERS, LLC
June 15, 1992 - October 15, 1993
AELTUS CAPITAL, 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
SMEAD FUNDS DISTRIBUTORS, LLC
CRD#: 173734 / SEC#: , 8-69550
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS LLC | DIRECTOR OWNER/SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| TAYLOR, GORDON BURDETTE | CHIEF COMPLIANCE OFFICER AND VICE PRESIDENT | 2990648 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
