CO
Christopher J. Ochipa
WELLINGTON FUNDS DISTRIBUTORS
New York, NY 10003
Some features on this profile are disabled
CRD#: 2860032
CO
Professional summary
Christopher John Ochipa, who also goes by Chris Ochipa, is a registered financial professional currently at WELLINGTON FUNDS DISTRIBUTORS INC. located in New York, New York.
Christopher is registered as a RR (Registered Representative) and started their career in finance in 1998. Christopher has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 31 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Chris Ochipa
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.
CRS (Client Relationship Summary) - BD
Click below to view Christopher John Ochipa'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®
NoneExperience
Current
September 18, 2025 - Present
WELLINGTON FUNDS DISTRIBUTORS INC.
Office #1: 799 Broadway, New York, NY 10003BD
CRD#: 152768
New York, NY
Past
April 1, 2022 - September 4, 2025
DELAWARE DISTRIBUTORS, L.P.
BD
CRD#: 14232
New York, NY
Past
August 20, 2013 - April 1, 2022
FORESIDE FUND SERVICES, LLC
BD
CRD#: 46106
NEW YORK CITY, NY
Past
May 16, 2005 - March 26, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
PENNINGTON, NJ
Past
March 18, 2005 - March 26, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
PENNINGTON, NJ
Past
August 20, 1998 - May 3, 2000
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(9/18/2025)
RR
Alaska(9/18/2025)
RR
Arizona(9/18/2025)
RR
Arkansas(9/18/2025)
RR
California(9/18/2025)
RR
Colorado(9/18/2025)
RR
Connecticut(9/18/2025)
RR
Delaware(9/18/2025)
RR
District of Columbia(9/18/2025)
RR
Florida(9/18/2025)
RR
Georgia(9/18/2025)
RR
Hawaii(9/18/2025)
RR
Idaho(9/18/2025)
RR
Illinois(9/18/2025)
RR
Indiana(9/18/2025)
RR
Iowa(9/18/2025)
RR
Kansas(9/18/2025)
RR
Kentucky(9/18/2025)
RR
Louisiana(9/18/2025)
RR
Maine(9/18/2025)
RR
Maryland(9/18/2025)
RR
Massachusetts(9/18/2025)
RR
Michigan(9/18/2025)
RR
Minnesota(9/18/2025)
RR
Mississippi(9/18/2025)
RR
Missouri(9/18/2025)
RR
Montana(9/18/2025)
RR
Nebraska(9/18/2025)
RR
Nevada(9/18/2025)
RR
New Hampshire(9/18/2025)
RR
New Jersey(9/18/2025)
RR
New Mexico(9/18/2025)
RR
New York(9/18/2025)
RR
North Carolina(9/18/2025)
RR
North Dakota(9/18/2025)
RR
Ohio(9/18/2025)
RR
Oklahoma(9/18/2025)
RR
Oregon(9/18/2025)
RR
Pennsylvania(9/18/2025)
RR
Rhode Island(9/18/2025)
RR
South Carolina(9/18/2025)
RR
South Dakota(9/18/2025)
RR
Tennessee(9/18/2025)
RR
Texas(9/18/2025)
RR
Utah(9/18/2025)
RR
Vermont(9/18/2025)
RR
Virginia(9/18/2025)
RR
Washington(9/18/2025)
RR
West Virginia(9/18/2025)
RR
Wisconsin(9/18/2025)
RR
Wyoming(9/18/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
WF
WELLINGTON FUNDS DISTRIBUTORS INC.
WELLINGTON FUNDS DISTRIBUTORS INC. | WELLINGTON MANAGEMENT ADVISERS, INC
CRD#: 152768 / SEC#: , 8-68476
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
280 Congress Street, Boston, MA 02210
Mailing Address
280 Congress Street, Boston, MA 02210
Phone number
(617) 951-5000
Established
Delaware since 10/29/2009
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLINGTON MANAGEMENT FUNDS HOLDINGS LLP | HOLDING COMPANY | |
| COYNE, LAURA ANN ESQ. | DIRECTOR | 7053320 |
| GEORGE, JEFFREY BRIAN | DIRECTOR | 8180600 |
| HAVLICEK, DESMOND ANTHONY | DIRECTOR | 2843267 |
| MACKENZIE, BRENDAN MICHAEL | DIRECTOR | 5051963 |
| MARTIN, SARA ANN | CHIEF LEGAL OFFICER | 7469775 |
| MILLEN, SARAH MACKTEZ | CHIEF FINANCIAL OFFICER | 7116565 |
| SHANNON, MARY KEHOE | DIRECTOR | 6439388 |
| SHANNON, MARY KEHOE | PRESIDENT | 6439388 |
| WILLIAMS, ASHLEY LEIGH | CHIEF COMPLIANCE OFFICER | 5498874 |
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.
