Christopher Vito Parisi
CIMA®Professional Summary
Christopher Vito Parisi, CIMA® is a registered financial advisor currently at GUGGENHEIM INVESTMENTS located in Chicago, Illinois and GUGGENHEIM FUNDS DISTRIBUTORS, LLC located in Chicago, Illinois. Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Christopher has worked at 7 firms and has passed the Series 65, Series 63, Series 3, SIE, Series 7, Series 6 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
There are no additional aliases reported.
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
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.
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.
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
Credentials
Years of Experience
33 years in the financial services industry
Current & Past Employments
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
Current Firm
6TH AVENUE INVESTMENT MANAGEMENT COMPANY | SECURITY MANAGEMENT COMPANY, LLC | SECURITY INVESTORS, LLC | SECURITY GLOBAL INVESTORS | RYDEX|SGI | RYDEX INVESTMENTS | GUGGENHEIM PARTNERS | GUGGENHEIM INVESTMENTS ASSET MANAGEMENT | GUGGENHEIM INVESTMENTS | 6TH AVENUE INVESTMENT MANAGEMENT COMPANY, LLC
Contact Information
Main Address
330 Madison Avenue 10th Floor, New York, NY 10017Phone Number
(212) 518-9010# of Employees
20SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
107AUM (Assets Under Management)
$7,974,551,429Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
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.
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
Primary Firm SEC Registration
6TH AVENUE INVESTMENT MANAGEMENT COMPANY | SECURITY MANAGEMENT COMPANY, LLC | SECURITY INVESTORS, LLC | SECURITY GLOBAL INVESTORS | RYDEX|SGI | RYDEX INVESTMENTS | GUGGENHEIM PARTNERS | GUGGENHEIM INVESTMENTS ASSET MANAGEMENT | GUGGENHEIM INVESTMENTS | 6TH AVENUE INVESTMENT MANAGEMENT COMPANY, LLC
State Registrations and Notice Filings
(2/26/2010)
(2/26/2010)
(2/26/2010)
(2/26/2010)
(2/26/2010)
(2/26/2010)
(2/26/2010)
(2/26/2010)
(2/26/2010)
(2/26/2010)
(2/26/2010)
(2/26/2010)
(2/26/2010)
(2/26/2010)
(3/4/2014)
(2/26/2010)
(2/26/2010)
(2/26/2010)
(2/26/2010)
(2/26/2010)
(2/26/2010)
(2/26/2010)
(2/26/2010)
(2/26/2010)
(2/26/2010)
(2/26/2010)
(2/26/2010)
(2/26/2010)
(2/26/2010)
(2/26/2010)
(2/26/2010)
(2/26/2010)
(2/26/2010)
(2/26/2010)
(3/2/2010)
(2/26/2010)
(3/1/2010)
(2/26/2010)
(2/26/2010)
(2/26/2010)
(2/26/2010)
(2/26/2010)
(2/26/2010)
(2/26/2010)
(2/26/2010)
(2/26/2010)
(2/26/2010)
(2/26/2010)
(2/26/2010)
(2/26/2010)
(2/26/2010)
(2/26/2010)
(2/26/2010)
(2/26/2010)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Nov 1993About the Series 6 examSRO Registrations
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Vito Parisi's CRS (Customer Relationship Summary).
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
