CF
Christopher D. Flick
VANGUARD MARKETING
Malvern, PA 19355
Some features on this profile are disabled
CRD#: 2514948
CF
Professional summary
Christopher David Flick, who also goes by Chris Flick, Christopher D Flick, is a registered financial professional currently at VANGUARD MARKETING CORPORATION located in Malvern, Pennsylvania.
Christopher is registered as a RR (Registered Representative) and started their career in finance in 1994. Christopher has worked at 5 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Chris Flick | Christopher D Flick
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 David Flick'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 25, 1997 - Present
VANGUARD MARKETING CORPORATION
Office #1: 100 Vanguard Blvd, Malvern, PA 19355BD
CRD#: 7452
Malvern, PA
Past
September 17, 1999 - December 12, 2002
VANGUARD ADVISERS, INC.
RIA
CRD#: 106715
MALVERN, PA
Past
January 30, 1996 - December 31, 1997
CINCINNATI ANALYSTS, INC.
BD
CRD#: 5478
CINCINNATI, OH
Past
July 25, 1994 - May 24, 1995
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
July 25, 1994 - May 24, 1995
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
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(1/4/2011)
RR
Alaska(1/4/2011)
RR
Arizona(1/4/2011)
RR
Arkansas(1/4/2011)
RR
California(1/4/2011)
RR
Colorado(1/4/2011)
RR
Connecticut(10/26/2006)
RR
Delaware(1/4/2011)
RR
District of Columbia(1/4/2011)
RR
Florida(1/4/2011)
RR
Georgia(1/4/2011)
RR
Hawaii(1/4/2011)
RR
Idaho(1/4/2011)
RR
Illinois(1/4/2011)
RR
Indiana(1/4/2011)
RR
Iowa(1/4/2011)
RR
Kansas(1/4/2011)
RR
Kentucky(1/4/2011)
RR
Louisiana(1/4/2011)
RR
Maine(10/26/2006)
RR
Maryland(1/4/2011)
RR
Massachusetts(10/26/2006)
RR
Michigan(1/4/2011)
RR
Minnesota(1/4/2011)
RR
Mississippi(1/4/2011)
RR
Missouri(1/4/2011)
RR
Montana(1/4/2011)
RR
Nebraska(1/4/2011)
RR
Nevada(1/4/2011)
RR
New Hampshire(10/26/2006)
RR
New Jersey(1/4/2011)
RR
New Mexico(1/4/2011)
RR
New York(10/26/2006)
RR
North Carolina(1/4/2011)
RR
North Dakota(1/4/2011)
RR
Ohio(1/4/2011)
RR
Oklahoma(1/4/2011)
RR
Oregon(1/4/2011)
RR
Pennsylvania(1/3/1998)
RR
Rhode Island(3/11/2010)
RR
South Carolina(1/4/2011)
RR
South Dakota(1/4/2011)
RR
Tennessee(1/4/2011)
RR
Texas(1/4/2011)
RR
Utah(1/4/2011)
RR
Vermont(10/26/2006)
RR
Virginia(1/4/2011)
RR
Washington(1/4/2011)
RR
West Virginia(1/4/2011)
RR
Wisconsin(1/4/2011)
RR
Wyoming(1/4/2011)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 2/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
VM
VANGUARD MARKETING CORPORATION
VANGUARD BROKERAGE SERVICES | VANGUARD MARKETING CORPORATION
CRD#: 7452 / SEC#: , 8-21570
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
100 Vanguard Blvd, Malvern, PA 19355
Mailing Address
5951 Luckett Court Suite A1, El Paso, TX 79932-1882
Phone number
(610) 669-1000
Established
Pennsylvania since 04/21/1977
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | |
| BENCHENER, MATTHEW JOHN | CHAIRMAN, PRESIDENT, DIRECTOR, CEO-DESIGNEE | 5569805 |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BISORDI, JOHN | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 7526828 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRANCATO, MATTHEW CLARK | DIRECTOR, VICE PRESIDENT | 6220380 |
| JAMES, JOHN MARK | DIRECTOR, SENIOR VICE PRESIDENT | 5594356 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 8 |
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.
