Christopher J. Hartung
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 John Hartung was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1994. Christopher had worked at 7 firms and has passed the Series 63, Series 7TO, SIE, Series 87, Series 86 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 4, 2011 - June 25, 2020
LAZARD ASSET MANAGEMENT SECURITIES LLC
July 1, 2009 - June 22, 2010
WELLS FARGO SECURITIES, LLC
September 16, 2004 - July 1, 2009
WELLS FARGO SECURITIES, LLC
January 9, 2003 - September 14, 2004
W.R. HAMBRECHT + CO., LLC
October 1, 1997 - July 20, 2000
BANC OF AMERICA SECURITIES LLC
June 4, 1996 - October 1, 1997
MONTGOMERY SECURITIES
March 16, 1994 - February 27, 1996
JPMSI
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 12/22/2022
General Securities Representative ExaminationCurrent Firm
LAZARD ASSET MANAGEMENT SECURITIES LLC
CRD#: 129119 / SEC#: , 8-66201
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Red Flags
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