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Christopher M. Mortara

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CRD#: 2858346
CM

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 Michael Mortara was a registered financial professional .

Christopher is a previously registered financial professional and started their career in finance in 1997. Christopher had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

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

October 7, 2020 - January 19, 2024

SEXTANT SECURITIES, LLC

BD
CRD#: 283937
NEW YORK, NY
Past

July 13, 2020 - October 31, 2022

SKYROCK INVESTMENT MANAGEMENT LLC

RIA
CRD#: 305408
Marshfield, MA
Past

January 18, 2011 - July 13, 2018

CANTELLA & CO., INC.

RIA
CRD#: 13905
BOSTON, MA
Past

January 10, 2011 - July 13, 2018

CANTELLA & CO., INC.

BD
CRD#: 13905
BOSTON, MA
Past

May 18, 2009 - December 31, 2010

OSAIC FS, INC.

BD
CRD#: 3870
BRAINTREE, MA
Past

September 18, 2006 - December 31, 2010

U.S. FINANCIAL ADVISORS

RIA
CRD#: 108763
BRAINTREE, MA
Past

September 14, 2006 - May 21, 2009

U.S. WEALTH ADVISORS, LLC.

BD
CRD#: 126924
BRAINTREE, MA
Past

August 4, 2005 - September 11, 2006

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
HINGHAM, MA
Past

August 4, 2005 - September 11, 2006

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
HINGHAM, MA
Past

January 1, 2002 - July 12, 2005

U.S. FINANCIAL ADVISORS

RIA
CRD#: 108763
BRAINTREE, MA
Past

December 18, 2001 - July 18, 2005

SUNAMERICA SECURITIES, INC.

BD
CRD#: 20068
PHOENIX, AZ
Past

April 10, 2001 - December 21, 2001

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
PHILADELPHIA, PA
Past

February 15, 2000 - January 18, 2001

DEAM INVESTOR SERVICES, INC.

BD
CRD#: 754
NEW YORK, NY
Past

January 4, 1999 - February 15, 2000

SCUDDER FINANCIAL SERVICES, INC.

BD
CRD#: 41692
BOSTON, MA
Past

June 11, 1997 - December 31, 1998

DEAM INVESTOR SERVICES, INC.

BD
CRD#: 754
NEW YORK, 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
IAR
Series 65
Date: 8/9/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/1/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/13/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/18/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/9/1997
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/20/2006
General Securities Principal Examination

Current Firm

SS
SEXTANT SECURITIES, LLC
FING SECURITIES LLC | SEXTANT SECURITIES, LLC | SEXTANT CAPITAL SOLUTIONS

CRD#: 283937 / SEC#: , 8-69772

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
600 Madison Avenue 17th Floor, New York, NY 10022
Mailing Address
600 Madison Avenue 17th Floor, New York, NY 10022
Phone number
(917) 715-5500
Established
New York since 02/29/2016
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MERCHANT ASSET MANAGEMENT, LLCMEMBER
DALY, PATRICK LEOCEO2186449
FOX, GERHARD ROBERTCCO2796860
ROCHE, PASCALFINOP/PFO/POO5920968

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

SEXTANT SECURITIES, LLC

CRD#: 283937

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