Christopher V. Adams

FRANKLIN DISTRIBUTORS

Stamford, CT 06902

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CRD#: 2942069

Professional summary

Christopher V Adams, who also goes by Chris Adams, is a registered financial professional currently at FRANKLIN DISTRIBUTORS, LLC located in Stamford, Connecticut.

Christopher is registered as a RR (Registered Representative) and started their career in finance in 1997. Christopher has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Chris Adams

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 V Adams's CRS (Customer Relationship Summary).

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

July 16, 2014 - Present

FRANKLIN DISTRIBUTORS, LLC

Office #1: 100 First Stamford Place, Stamford, CT 06902

CRD#: 109064

Stamford, CT

Past

October 8, 2012 - July 11, 2014

THE LEADERS GROUP, INC.

CRD#: 37157

SUMMIT, NJ

Past

June 7, 2010 - October 8, 2010

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

RIDGEFIELD, CT

Past

June 3, 2010 - October 8, 2010

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

RIDGEFIELD, CT

Past

December 11, 2008 - April 1, 2010

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

RIA

CRD#: 105790

BOSTON, MA

Past

November 14, 2002 - December 31, 2006

JOHN HANCOCK DISTRIBUTORS LLC

RIA

CRD#: 5249

BOSTON, MA

Past

January 1, 2002 - April 1, 2010

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

BOSTON, MA

Past

December 24, 1997 - January 1, 2002

MANULIFE WOOD LOGAN, INC.

CRD#: 19177

STAMFORD, CT

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

Alabama
(12/1/2022)

Alaska
(12/1/2022)

Arizona
(12/1/2022)

Arkansas
(12/1/2022)

California
(1/3/2022)

Colorado
(12/1/2022)

Connecticut
(7/16/2014)

Delaware
(7/16/2014)

District of Columbia
(7/16/2014)

Florida
(7/16/2014)

Georgia
(12/1/2022)

Hawaii
(12/1/2022)

Idaho
(12/1/2022)

Illinois
(12/1/2022)

Indiana
(7/16/2014)

Iowa
(12/1/2022)

Kansas
(12/1/2022)

Kentucky
(7/16/2014)

Louisiana
(12/1/2022)

Maine
(7/16/2014)

Maryland
(7/16/2014)

Massachusetts
(7/16/2014)

Michigan
(7/16/2014)

Minnesota
(12/1/2022)

Mississippi
(12/1/2022)

Missouri
(12/1/2022)

Montana
(12/1/2022)

Nebraska
(12/1/2022)

Nevada
(12/1/2022)

New Hampshire
(7/16/2014)

New Jersey
(7/16/2014)

New Mexico
(12/1/2022)

New York
(7/16/2014)

North Carolina
(12/1/2022)

North Dakota
(12/1/2022)

Ohio
(7/16/2014)

Oklahoma
(12/1/2022)

Oregon
(12/1/2022)

Pennsylvania
(7/16/2014)

Puerto Rico
(1/2/2025)

Rhode Island
(7/16/2014)

South Carolina
(12/1/2022)

South Dakota
(12/1/2022)

Tennessee
(7/16/2014)

Texas
(12/1/2022)

Utah
(12/1/2022)

Vermont
(7/16/2014)

Virgin Islands
(1/2/2025)

Virginia
(7/16/2014)

Washington
(12/1/2022)

West Virginia
(7/16/2014)

Wisconsin
(12/1/2022)

Wyoming
(12/1/2022)

Exams

State Security Law Exam

IAR

Series 65

Date: 11/12/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/24/1997

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: 11/4/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/23/1997

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/21/2005

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FRANKLIN DISTRIBUTORS, LLC

FRANKLIN DISTRIBUTORS, LLC | UNIFIED DISTRIBUTORS LLC | LEGG MASON INVESTORS SERVICES, LLC | LEGG MASON INVESTOR SERVICES, LLC | LATINVALLEY SECURITIES LLC

CRD#: 109064 / SEC#: , 8-53089

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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Contact information

Main Address

One Franklin Parkway, San Mateo, CA 94403

Mailing Address

1201 Wills Street, Baltimore, MD 21231

Phone number

(800) 632-2350

Established

Delaware since 12/01/2000

Firm type

Limited Liability Company

Fiscal year end

September

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
TEMPLETON WORLDWIDE, INC.	SHAREHOLDER
CIEPRISZ, KENNETH DAVID	CHIEF COMPLIANCE OFFICER	2303713
GAMBA, DANIEL ERNESTO	CHIEF EXECUTIVE OFFICER	4594704
MASOM, JEFFREY SCOTT	PRESIDENT-DIRECTOR	2870966
PATERSON, DAVID	CHIEF FINANCIAL OFFICER AND DESIGNATED FINANCIAL PRINCIPAL	7001546

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Christopher V. Adams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Christopher V Adams's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE LEADERS GROUP, INC.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

JOHN HANCOCK DISTRIBUTORS LLC

JOHN HANCOCK DISTRIBUTORS LLC

MANULIFE WOOD LOGAN, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/12/2002

Series 63

Date: 11/24/1997

SIE

Date: 10/1/2018

Series 7

Date: 11/4/1999

Series 6

Date: 12/23/1997

Series 24

Date: 6/21/2005

FINRA

Current Firm

FRANKLIN DISTRIBUTORS, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FRANKLIN DISTRIBUTORS, LLC

TRUST BUT VERIFY

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