CC
Christopher G. Carlo
FRANKLIN DISTRIBUTORS
Stamford, CT 06902
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CRD#: 3013810
CC
Professional summary
Christopher Garry Carlo, CIMA®, who also goes by Chris Carlo, 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 1998. Christopher has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Chris Carlo
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 Garry Carlo'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®
Experience
Current
July 7, 2021 - Present
FRANKLIN DISTRIBUTORS, LLC
Office #1: 100 First Stamford Place, Stamford, CT 06902BD
CRD#: 109064
Stamford, CT
Past
July 13, 1998 - July 7, 2021
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
BD
CRD#: 332
ST. PETERSBURG, FL
Past
March 20, 1998 - July 1, 1998
MM ASCEND LIFE INVESTOR SERVICES, LLC
BD
CRD#: 36451
CINCINNATI, OH
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(7/7/2021)
RR
Alaska(6/5/2024)
RR
Arizona(6/5/2024)
RR
Arkansas(7/7/2021)
RR
California(7/7/2021)
RR
Colorado(6/5/2024)
RR
Connecticut(1/6/2022)
RR
Delaware(6/5/2024)
RR
District of Columbia(6/5/2024)
RR
Florida(7/7/2021)
RR
Georgia(7/7/2021)
RR
Hawaii(6/5/2024)
RR
Idaho(6/5/2024)
RR
Illinois(6/5/2024)
RR
Indiana(6/5/2024)
RR
Iowa(6/5/2024)
RR
Kansas(6/5/2024)
RR
Kentucky(1/17/2024)
RR
Louisiana(7/7/2021)
RR
Maine(6/5/2024)
RR
Maryland(6/5/2024)
RR
Massachusetts(1/17/2024)
RR
Michigan(6/5/2024)
RR
Minnesota(6/5/2024)
RR
Mississippi(7/7/2021)
RR
Missouri(6/5/2024)
RR
Montana(6/5/2024)
RR
Nebraska(6/5/2024)
RR
Nevada(6/5/2024)
RR
New Hampshire(6/5/2024)
RR
New Jersey(6/5/2024)
RR
New Mexico(6/5/2024)
RR
New York(7/7/2021)
RR
North Carolina(7/7/2021)
RR
North Dakota(6/5/2024)
RR
Ohio(6/5/2024)
RR
Oklahoma(7/7/2021)
RR
Oregon(6/5/2024)
RR
Pennsylvania(6/5/2024)
RR
Puerto Rico(6/5/2024)
RR
Rhode Island(6/5/2024)
RR
South Carolina(7/7/2021)
RR
South Dakota(6/5/2024)
RR
Tennessee(7/7/2021)
RR
Texas(7/7/2021)
RR
Utah(6/5/2024)
RR
Vermont(6/5/2024)
RR
Virgin Islands(6/5/2024)
RR
Virginia(7/7/2021)
RR
Washington(6/5/2024)
RR
West Virginia(1/17/2024)
RR
Wisconsin(6/5/2024)
RR
Wyoming(6/5/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FD
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
BD
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)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
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.
