Andrew T. Christos
Professional summary
Andrew Thomas Christos, who also goes by Andy Christos, is a registered financial advisor currently at CAPITAL CLIENT GROUP, INC. located in Los Angeles, California.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Andrew has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Thomas Christos's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Andrew Thomas Christos's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 22, 2014 - Present
CAPITAL CLIENT GROUP, INC.
Office #1: 333 South Hope Street 55th Floor, Los Angeles, CA, 90071-1447April 21, 2014 - Present
CAPITAL CLIENT GROUP, INC.
Office #1: 333 South Hope Street 55th Floor, Los Angeles, CA, 90071-1447November 3, 2011 - March 3, 2014
REALTY CAPITAL SECURITIES, LLC
July 26, 2010 - October 26, 2011
MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.
July 26, 2010 - October 26, 2011
MESIROW FINANCIAL, INC.
May 1, 2010 - July 23, 2010
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
May 1, 2010 - July 23, 2010
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
February 9, 2005 - May 1, 2010
BOFA ADVISORS, LLC
February 8, 2005 - May 1, 2010
BOFA DISTRIBUTORS, INC.
January 21, 2004 - February 10, 2005
LINCOLN FINANCIAL DISTRIBUTORS, INC.
January 21, 2004 - February 10, 2005
LINCOLN FINANCIAL DISTRIBUTORS, INC.
November 11, 2002 - January 6, 2004
JOHN HANCOCK DISTRIBUTORS LLC
January 1, 2002 - January 6, 2004
JOHN HANCOCK DISTRIBUTORS LLC
August 26, 1999 - January 1, 2002
MANULIFE WOOD LOGAN, INC.
February 16, 1996 - April 16, 1999
FIDELITY DISTRIBUTORS COMPANY LLC
Primary Firm SEC Registration
CAPITAL CLIENT GROUP, INC.
CRD#: 6247 / SEC#: 801-77946, 8-17168
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/22/2014)
(4/21/2014)
(8/14/2019)
(1/10/2020)
(4/21/2014)
(4/21/2014)
Exams
FINRA
Current Firm
CAPITAL CLIENT GROUP, INC.
CRD#: 6247 / SEC#: 801-77946, 8-17168
Contact information
SEC notice filing (15 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL RESEARCH AND MANAGEMENT COMPANY | STOCKHOLDER | |
| AGUILAR, ALBERT JR | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT, DIRECTOR | 5106724 |
| BURTON, RENE MARGARET | TREASURER, FINANCIAL OPERATIONS PRINCIPAL, VICE PRESIDENT, DIRECTOR | 1956766 |
| MCHALE, TIMOTHY WILLIAM | SECRETARY | 4244021 |
| O'CONNOR, MATTHEW PHILIP | CHAIRMAN & CHIEF EXECUTIVE OFFICER, DIRECTOR | 2427203 |
| PIKEN, KEITH ALAN | SENIOR VICE PRESIDENT, DIRECTOR | 2576730 |
| TRIESSL, MICHAEL JAMES | DIRECTOR | 3060797 |
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.
