Christopher M. Fillo
Professional summary
Christopher Mark Fillo, who also goes by Christopher M Fillo, Christopher Mark Fillow, is a registered financial professional currently at MSA SECURITIES, LLC located in Santa Monica, California.
Christopher is registered as a RR (Registered Representative) and started their career in finance in 1993. Christopher has worked at 3 firms and has passed the Series 99TO, Series 79TO, SIE, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Christopher Mark Fillo's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 4, 2010 - Present
MSA SECURITIES, LLC
Office #1: 3110 Main Street Suite 310, Santa Monica, CA 90405Office #2: 3110 Main Street Suite 310, Santa Monica, CA 90405August 27, 1993 - March 5, 1997
SCHRODER & CO. INC.
April 13, 1993 - August 30, 1993
SUTRO & CO. INCORPORATED
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
MSA SECURITIES, LLC
CRD#: 150557 / SEC#: , 8-68267
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FILLO, CHRISTOPHER MARK | MANAGING MEMBER, CCO, EXEC. REP., AML SUPER. | |
| MISTY MOUNTAIN HOP AGGREGATOR TRUST | MEMBER | |
| POTTS, JAMES BERTRUM | FINOP, CFO | 6411792 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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