Christopher W. Sloan
Professional summary
Christopher William Sloan, who also goes by William Poole, Christopher William Sloane, Christopher W Sloan, 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 1994. Christopher has worked at 19 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 52 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Christopher William Sloan's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 17, 2023 - Present
DISTRIBUTION SERVICES, LLC
Office #1: 190 Middle Street Suite 301, Portland, ME 04101December 2, 2020 - May 25, 2021
JCC CAPITAL MARKETS, LLC
October 16, 2020 - November 10, 2020
GREAT POINT CAPITAL LLC
May 21, 2019 - July 19, 2019
TRITON PACIFIC SECURITIES, LLC
August 22, 2013 - April 16, 2019
LOCORR DISTRIBUTORS, LLC
July 6, 2012 - July 3, 2013
VERTICAL CAPITAL SECURITIES, LLC
July 26, 2011 - April 9, 2012
KBR CAPITAL MARKETS, LLC
August 27, 2010 - July 27, 2011
BRITEHORN SECURITIES
December 1, 2008 - July 24, 2009
CM SECURITIES, LLC
October 26, 2005 - October 31, 2008
WELTON STREET INVESTMENTS LLC
December 19, 2003 - November 5, 2004
JOHN HANCOCK DISTRIBUTORS LLC
December 19, 2003 - November 5, 2004
JOHN HANCOCK DISTRIBUTORS LLC
August 7, 2002 - August 11, 2003
ARES WEALTH MANAGEMENT SOLUTIONS, LLC
June 21, 2001 - July 29, 2002
STRONG CAPITAL MANAGEMENT INC
February 7, 2001 - July 29, 2002
STRONG INVESTMENTS, INC.
September 1, 2000 - January 31, 2001
VOYA INVESTMENTS DISTRIBUTOR, LLC
July 1, 1999 - September 1, 2000
ING FUNDS DISTRIBUTOR, INC.
May 11, 1998 - May 10, 1999
WELLS FARGO CLEARING SERVICES, LLC
July 14, 1997 - May 11, 1998
PRINCIPAL FINANCIAL SECURITIES,INC.
December 6, 1994 - July 17, 1997
AMERIPRISE ADVISOR SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/20/2023)
(4/18/2023)
(4/18/2023)
(4/19/2023)
(4/18/2023)
(6/6/2023)
(8/4/2023)
(4/20/2023)
(5/2/2023)
(5/11/2023)
(4/19/2023)
(4/18/2023)
(4/18/2023)
(4/19/2023)
(4/25/2023)
Exams
Series 8
Date: 4/8/1996
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
DISTRIBUTION SERVICES, LLC
CRD#: 25938 / SEC#: , 8-42106
Contact information
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
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Company Information
DISTRIBUTION SERVICES, LLC
CRD#: 25938Portland, ME 04101TRUST BUT VERIFY
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