Christopher J. Mahon
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 James Mahon was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1997. Christopher had worked at 7 firms and has passed the SIE, Series 55, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 2010 - January 9, 2017
SANFORD C. BERNSTEIN & CO., LLC
August 23, 2001 - October 25, 2010
DEUTSCHE BANK SECURITIES INC.
September 14, 2000 - August 13, 2001
SOUNDVIEW TECHNOLOGY CORPORATION
August 18, 1999 - January 23, 2002
WIT CAPITAL CORPORATION
December 16, 1998 - May 25, 1999
D. E. SHAW VALENCE, L.L.C.
December 15, 1997 - May 25, 1999
D.E. SHAW SECURITIES, L.L.C.
December 15, 1997 - May 25, 1999
D. E. SHAW INVESTMENTS, L.P.
Primary Firm SEC Registration
SANFORD C. BERNSTEIN & CO., LLC
CRD#: 104474 / SEC#: 801-57937, 8-52942
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 55
Date: 9/15/1998
Limited Representative-Equity Trader ExamCurrent Firm
SANFORD C. BERNSTEIN & CO., LLC
CRD#: 104474 / SEC#: 801-57937, 8-52942
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANCE CAPITAL MANAGEMENT LLC | SOLE LLC MEMBER | |
| EISENBERG, STEVEN MICHAEL | HEAD OF BUSINESS DEVELOPMENT | 2963027 |
| KRUEGER, GARY MICHAEL | CHIEF FINANCIAL OFFICER AND DIRECTOR | 2840211 |
| MEYERS, RICHARD EDWARD | CHIEF EXECUTIVE OFFICER | 4453533 |
| PURCELL, KEITH ANDREW | PRINCIPAL OPERATIONS OFFICER | 4228391 |
| WRIGHT, DANIEL EUGENE | CHIEF COMPLIANCE OFFICER | 2204732 |
Regulatory assets under management
| Total Number of Accounts | 26 |
| AUM (Assets Under Management) | $ 1,648,000,000 |
Disclosures
| Regulatory Event | 31 |
| Arbitration | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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