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CV

Christopher T. Votta

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CRD#: 2760656
CV

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 Thomas Votta, who also goes by Christopher Votta, was a registered financial professional .

Christopher is a previously registered financial professional and started their career in finance in 1996. Christopher had worked at 12 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Christopher Votta

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 19, 2013 - February 6, 2014

K.C. WARD FINANCIAL

BD
CRD#: 145135
RONKONKOMA, NY
Past

April 27, 2010 - August 19, 2011

EKN FINANCIAL SERVICES INC.

BD
CRD#: 113525
MELVILLE, NY
Past

November 30, 2009 - May 4, 2010

ITRADEDIRECT.COM CORP

BD
CRD#: 18281
FARMINGVILLE, NY
Past

October 23, 2007 - November 18, 2009

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

BD
CRD#: 130390
HOLBROOK, NY
Past

December 1, 2004 - October 29, 2007

J.P. TURNER & COMPANY, L.L.C.

BD
CRD#: 43177
MEDFORD, NY
Past

January 7, 2004 - December 17, 2004

LH ROSS & COMPANY, INC.

BD
CRD#: 37920
BOCA RATON, FL
Past

May 22, 2003 - January 21, 2004

CONTINENTAL BROKER-DEALER CORP.

BD
CRD#: 14048
CARLE PLACE, NY
Past

April 26, 2002 - May 29, 2003

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
TAMPA, FL
Past

April 2, 1997 - May 20, 2002

SEABOARD SECURITIES, INC.

BD
CRD#: 755
FLORHAM PARK, NJ
Past

March 26, 1997 - April 7, 1997

ARGENT SECURITIES, INC.

BD
CRD#: 15297
ATLANTA, GA
Past

February 19, 1997 - March 11, 1997

H G I

BD
CRD#: 14079
JERICHO, NY
Past

July 8, 1996 - February 20, 1997

STERLING FOSTER & COMPANY, INC.

BD
CRD#: 36052
UNIONDALE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/20/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/5/1996
General Securities Representative Examination

Current Firm

KW
K.C. WARD FINANCIAL
K.C. WARD FINANCIAL | K.C. WARD FINANCIAL LLC

CRD#: 145135 / SEC#: , 8-67706

BD
Terminated by SEC on 02/16/2018
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 06/01/2007
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
WARD, LOUISCEO2080639
CARRILLO, CHARLESCHIEF COMPLIANCE OFFICER41630

Disclosures

Regulatory Event3
Arbitration1

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.

Company Information

K.C. WARD FINANCIAL

CRD#: 145135

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