CC
Christopher P. Connors
DISTRIBUTION SERVICES
Portland, ME 04101
Some features on this profile are disabled
CRD#: 2404442
CC
Professional summary
Christopher Patrick Connors, who also goes by Chris Connors, is a registered financial professional currently at DISTRIBUTION SERVICES, LLC located in Portland, Maine.
Christopher is registered as a RR (Registered Representative) and started their career in finance in 1993. Christopher has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Chris Connors
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Christopher Patrick Connors'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
November 22, 2016 - Present
DISTRIBUTION SERVICES, LLC
Office #1: 190 Middle Street Suite 301, Portland, ME 04101BD
CRD#: 25938
Portland, ME
Past
July 23, 2007 - April 14, 2016
BLACKROCK FINANCIAL MANAGEMENT, INC
RIA
CRD#: 107105
NEW YORK, NY
Past
April 13, 2007 - April 14, 2016
BLACKROCK INVESTMENTS, LLC
BD
CRD#: 38642
NEW YORK, NY
Past
March 30, 2004 - April 27, 2006
HIMCO DISTRIBUTION SERVICES COMPANY
BD
CRD#: 6604
HARTFORD, CT
Past
July 16, 2002 - January 2, 2003
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
NEW YORK, NY
Past
November 10, 1999 - April 27, 2001
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
November 10, 1999 - April 27, 2001
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
October 28, 1993 - March 1, 1999
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(1/6/2017)
RR
Alaska(1/6/2017)
RR
Arizona(1/6/2017)
RR
Arkansas(1/6/2017)
RR
California(1/6/2017)
RR
Colorado(1/6/2017)
RR
Connecticut(1/6/2017)
RR
Delaware(1/6/2017)
RR
District of Columbia(1/6/2017)
RR
Florida(1/6/2017)
RR
Georgia(1/6/2017)
RR
Hawaii(1/6/2017)
RR
Idaho(1/6/2017)
RR
Illinois(1/6/2017)
RR
Indiana(1/6/2017)
RR
Iowa(1/6/2017)
RR
Kansas(1/6/2017)
RR
Kentucky(1/6/2017)
RR
Louisiana(1/6/2017)
RR
Maine(1/6/2017)
RR
Maryland(1/6/2017)
RR
Massachusetts(1/6/2017)
RR
Michigan(1/6/2017)
RR
Minnesota(1/6/2017)
RR
Mississippi(1/6/2017)
RR
Missouri(1/6/2017)
RR
Montana(1/6/2017)
RR
Nebraska(1/6/2017)
RR
Nevada(1/6/2017)
RR
New Hampshire(1/6/2017)
RR
New Jersey(1/6/2017)
RR
New Mexico(1/6/2017)
RR
New York(11/22/2016)
RR
North Carolina(1/9/2017)
RR
North Dakota(1/6/2017)
RR
Ohio(11/22/2016)
RR
Oklahoma(1/6/2017)
RR
Oregon(1/6/2017)
RR
Pennsylvania(11/22/2016)
RR
Puerto Rico(1/6/2017)
RR
Rhode Island(1/6/2017)
RR
South Carolina(1/6/2017)
RR
South Dakota(1/6/2017)
RR
Tennessee(1/6/2017)
RR
Texas(1/6/2017)
RR
Utah(1/6/2017)
RR
Vermont(1/6/2017)
RR
Virgin Islands(1/6/2017)
RR
Virginia(1/6/2017)
RR
Washington(1/6/2017)
RR
West Virginia(11/22/2016)
RR
Wisconsin(1/6/2017)
RR
Wyoming(1/6/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
DS
DISTRIBUTION SERVICES, LLC
DISTRIBUTION SERVICES, LLC | UMB DISTRIBUTION SERVICES, LLC | SUNSTONE FINANCIAL GROUP, INC. | SUNSTONE DISTRIBUTION SERVICES, LLC
CRD#: 25938 / SEC#: , 8-42106
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(866) 251-6920
Established
Wisconsin since 09/27/1996
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/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 | VP, CHIEF COMPLIANCE OFFICER | 2990648 |
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.
Company Information
DISTRIBUTION SERVICES, LLC
CRD#: 25938Portland, ME 04101TRUST BUT VERIFY
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