Christopher A. Gaunt

EXECUTIVE SERVICES SECURITIES

Atlanta, GA 30326

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CRD#: 2768977

Professional summary

Christopher Arthur Gaunt is a registered financial professional currently at EXECUTIVE SERVICES SECURITIES, LLC located in Atlanta, Georgia.

Christopher is registered as a RR (Registered Representative) and started their career in finance in 1996. Christopher has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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) - BD

Click below to view Christopher Arthur Gaunt'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®

None

Experience

Current

May 6, 2004 - Present

EXECUTIVE SERVICES SECURITIES, LLC

Office #1: 3445 Peachtree Road Ne, Suite 200, Atlanta, GA 30326Office #2: 3445 Peachtree Road Ne Suite 200, Atlanta, GA 30326-1156

RIA

CRD#: 25299

Atlanta, GA

Past

November 6, 2002 - August 7, 2003

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

May 30, 2000 - October 27, 2000

ADP BROKER-DEALER, INC.

CRD#: 37693

ROSELAND, NJ

Past

January 1, 1999 - May 19, 2000

GPC SECURITIES, INC.

CRD#: 14007

ATLANTA, GA

Past

May 29, 1998 - January 1, 1999

INVESCO DISTRIBUTORS, INC.

CRD#: 289

HOUSTON, TX

Past

November 27, 1996 - October 8, 1997

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

Past

July 31, 1996 - September 4, 1996

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

State Registrations and Notice Filings

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

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

Georgia
(5/6/2004)

Exams

State Security Law Exam

Series 63

Date: 7/12/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/24/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/30/1996

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/2/2023

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

EXECUTIVE SERVICES SECURITIES, LLC

EXECUTIVE SERVICES SECURITIES, INC. | ONE SECURITIES CORPORATION | ONE SECURITIES CORP. | EXECUTIVE SERVICES SECURITIES, LLC

CRD#: 25299 / SEC#: , 8-41649

Georgia

Registered Investment Advisory firm - SEC (7/5/1996 Approved)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

3445 Peachtree Road Ne Suite 200, Atlanta, GA 30326-1156

Mailing Address

3445 Peachtree Road Ne Suite 200, Atlanta, GA 30326-1156

Phone number

(404) 504-3800

Established

Georgia since 12/23/1998

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (49 States and Territories)

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
NFP CORP.	SOLE MEMBER
FELTS, KENNETH LEE	CFO
KROELL, EDWARD HAROLD	CHIEF COMPLIANCE OFFICER	2615310
MOO, VERONICA EI CHUN	DIRECTOR	5867442
O'MALLEY, EDWARD GEORGE	DIRECTOR	5902666
SCHNEIDER, BRETT RONALD	DIRECTOR	5636953

Red Flags

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Christopher A. Gaunt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Christopher Arthur Gaunt's CRS (Customer Relationship Summary).

Certified licenses

Experience

FSC SECURITIES CORPORATION

ADP BROKER-DEALER, INC.

GPC SECURITIES, INC.

INVESCO DISTRIBUTORS, INC.

DWS DISTRIBUTORS, INC.

WADDELL & REED

State Registrations and Notice Filings

Exams

Series 63

Date: 7/12/1996

SIE

Date: 10/1/2018

Series 7

Date: 7/24/1998

Series 6

Date: 7/30/1996

Series 24

Date: 1/2/2023

FINRA

Current Firm

EXECUTIVE SERVICES SECURITIES, LLC

Contact information

FINRA licenses (49 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

EXECUTIVE SERVICES SECURITIES, LLC

TRUST BUT VERIFY

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