Christopher R. O'donnell
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 Richard O'donnell, who also goes by Chris Odonnell, Christopher Richard Odonnell, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1995. Christopher had worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, Series 79TO, Series 52TO, SIE, Series 7, Series 14, Series 27, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 14, 2014 - March 29, 2024
STANDARD CHARTERED SECURITIES NORTH AMERICA LLC
May 25, 2005 - January 30, 2014
HSBC SECURITIES (USA) INC.
September 2, 2003 - May 25, 2005
BARCLAYS CAPITAL INC.
August 9, 2002 - September 9, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 9, 2002 - September 9, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 23, 1999 - June 12, 2002
PERSHING LLC
November 7, 1997 - April 5, 1999
J.P. MORGAN SECURITIES LLC
October 23, 1995 - November 17, 1997
GIBRALTAR SECURITIES CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
STANDARD CHARTERED SECURITIES NORTH AMERICA LLC
CRD#: 130847 / SEC#: , 8-66397
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STANDARD CHARTERED HOLDINGS INC. | OWNER | |
| DEFILIPPO, MANDY J | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 7184614 |
| HAUSCHILD, AUGUST DANIEL | ANTI MONEY LAUNDERING COMPLIANCE OFFICER | 4287421 |
| JONES, PAUL FAULKNER | CHIEF RISK OFFICER | 7630280 |
| NIELSEN, PETER | FINANCIAL AND OPERATIONS PRINCIPAL | 1072259 |
| PAULIC, JACINTA | CHIEF COMPLIANCE OFFICER, HEAD, CFCC ADVISORY FM AMERICAS | 5823367 |
Red Flags
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