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Christopher D. Baroni

Some features on this profile are disabled
CRD#: 3006402
CB

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 David Baroni was a registered financial professional .

Christopher is a previously registered financial professional and started their career in finance in 1998. Christopher had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

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

April 20, 2018 - June 19, 2019

STONE HATCHER FINANCIAL

RIA
CRD#: 292406
ANAHEIM, CA
Past

October 21, 2016 - November 17, 2020

CROWN CAPITAL SECURITIES, L.P.

BD
CRD#: 6312
ORANGE, CA
Past

January 8, 2010 - September 8, 2011

SECURITIES AMERICA, INC.

BD
CRD#: 10205
LAVISTA, NE
Past

July 31, 2009 - October 25, 2016

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
LONG BEACH, CA
Past

July 31, 2009 - October 25, 2016

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
LONG BEACH, CA
Past

May 29, 2007 - August 24, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
LAGUNA NIGUEL, CA
Past

May 29, 2007 - August 24, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
LAGUNA NIGUEL, CA
Past

February 10, 2003 - May 29, 2007

CITICORP INVESTMENT SERVICES

RIA
CRD#: 23988
MISSION VIEJO, CA
Past

February 10, 2003 - May 29, 2007

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
MISSION VIEJO, CA
Past

April 19, 2002 - January 27, 2003

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
SAN MARCOS, CA
Past

January 16, 2001 - January 27, 2003

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

December 7, 1998 - January 5, 2001

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

April 17, 1998 - October 5, 1998

H.J. MEYERS & CO., INC.

BD
CRD#: 15609
ROCHESTER, 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: 1/26/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/24/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 6/27/2001
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 4/16/1998
General Securities Representative Examination

Current Firm

SH
STONE HATCHER FINANCIAL
STONE HATCHER FINANCIAL | STONE HATCHER LLC | STONE HATCHER INSURANCE AGENCY

CRD#: 292406 / SEC#:

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Contact information

Main Address
Anaheim, CA
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

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

STONE HATCHER FINANCIAL

CRD#: 292406

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