Christian D. Schwab

CRAIG-HALLUM CAPITAL GROUP LLC

MINNEAPOLIS, MN 55401

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CRD#: 2415387

Professional summary

Christian David Schwab is a registered financial professional currently at CRAIG-HALLUM CAPITAL GROUP LLC located in Minneapolis, Minnesota.

Christian is registered as a RR (Registered Representative) and started their career in finance in 1993. Christian has worked at 6 firms and has passed the Series 63, SIE, Series 87, Series 86, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Christian David Schwab's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 23, 2002 - Present

CRAIG-HALLUM CAPITAL GROUP LLC

Office #1: 323 N Washington Ave Suite 300, Minneapolis, MN 55401

CRD#: 121395

MINNEAPOLIS, MN

Past

November 22, 2000 - July 8, 2002

THINKEQUITY LLC

CRD#: 44274

SAN FRANCISCO, CA

Past

July 26, 2000 - October 17, 2000

GEORGE K. BAUM & COMPANY

CRD#: 36354

KANSAS CITY, MO

Past

October 27, 1997 - July 31, 2000

JOHN G. KINNARD AND COMPANY, INCORPORATED

CRD#: 466

MINNEAPOLIS, MN

Past

July 24, 1997 - October 30, 1997

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

December 13, 1993 - July 17, 1997

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Minnesota
(9/4/2002)

Exams

State Security Law Exam

Series 63

Date: 12/22/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 2/24/2005

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 86

Date: 2/15/2005

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 7

Date: 12/10/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 3/19/1996

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

CRAIG-HALLUM CAPITAL GROUP LLC

CRD#: 121395 / SEC#: , 8-65407

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

323 N Washington Ave Suite 300, Minneapolis, MN 55401

Mailing Address

323 N Washington Ave Suite 300, Minneapolis, MN 55401

Phone number

(612) 334-6300

Established

Minnesota since 05/30/2002

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (44 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
CRAIG-HALLUM HOLDINGS LLC	SHAREHOLDER
DYER, STEVEN LEE	DIR, CEO	4341538
EMMEL, THOMAS EDMUND	DIR	2728311
HARRIS, KEVIN PATRICK	DIR, PRESIDENT	724657
HARTFIEL, WILLIAM FREDERICK	DIR	2093426
JENSEN, CHRISTOPHER R	CCO	3219762
SONSTEGARD, JEANNIE LOUISE	CFO	1643359
ZAVORAL, JAMES HENRY JR	DIR	2415854

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Christian D. Schwab

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Christian David Schwab's CRS (Customer Relationship Summary).

Certified licenses

Experience

THINKEQUITY LLC

GEORGE K. BAUM & COMPANY

JOHN G. KINNARD AND COMPANY, INCORPORATED

MORGAN STANLEY DW INC.

AMERIPRISE ADVISOR SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/22/1993

SIE

Date: 10/1/2018

Series 87

Date: 2/24/2005

Series 86

Date: 2/15/2005

Series 7

Date: 12/10/1993

Series 8

Date: 3/19/1996

FINRA

Nasdaq Stock Market

Current Firm

CRAIG-HALLUM CAPITAL GROUP LLC

Contact information

FINRA licenses (44 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CRAIG-HALLUM CAPITAL GROUP LLC

TRUST BUT VERIFY

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