CS
Christopher W. Sleggs
PIMCO INVESTMENTS LLC
Newport Beach, CA 92660
Some features on this profile are disabled
CRD#: 3060965
CS
Professional summary
Christopher William Sleggs, who also goes by C W Sleggs, is a registered financial professional currently at PIMCO INVESTMENTS LLC located in Newport Beach, California.
Christopher is registered as a RR (Registered Representative) and started their career in finance in 1998. Christopher has worked at 6 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
C W Sleggs
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 William Sleggs'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
April 28, 2016 - Present
PIMCO INVESTMENTS LLC
Office #1: 650 Newport Center Dr., Newport Beach, CA 92660BD
CRD#: 154957
Newport Beach, CA
Past
September 15, 2010 - April 4, 2016
BNY MELLON SECURITIES CORPORATION
BD
CRD#: 231
NEW YORK, NY
Past
July 26, 2007 - May 13, 2009
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
December 6, 2004 - November 13, 2006
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
BD
CRD#: 18353
CHICAGO, IL
Past
April 19, 2000 - December 6, 2004
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
BD
CRD#: 40596
HARTFORD, CT
Past
July 13, 1998 - November 16, 1999
BOFA DISTRIBUTORS, INC.
BD
CRD#: 30683
BOSTON, MA
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(4/28/2016)
RR
Alaska(4/28/2016)
RR
Arizona(4/28/2016)
RR
Arkansas(4/28/2016)
RR
California(4/28/2016)
RR
Colorado(4/28/2016)
RR
Connecticut(4/28/2016)
RR
Delaware(4/28/2016)
RR
District of Columbia(4/28/2016)
RR
Florida(4/28/2016)
RR
Georgia(4/28/2016)
RR
Hawaii(4/28/2016)
RR
Idaho(4/28/2016)
RR
Illinois(4/28/2016)
RR
Indiana(4/28/2016)
RR
Iowa(4/28/2016)
RR
Kansas(4/28/2016)
RR
Kentucky(4/28/2016)
RR
Louisiana(4/28/2016)
RR
Maine(4/28/2016)
RR
Maryland(4/28/2016)
RR
Massachusetts(4/28/2016)
RR
Michigan(4/28/2016)
RR
Minnesota(4/28/2016)
RR
Mississippi(4/28/2016)
RR
Missouri(4/28/2016)
RR
Montana(4/28/2016)
RR
Nebraska(4/28/2016)
RR
Nevada(4/28/2016)
RR
New Hampshire(4/28/2016)
RR
New Jersey(4/28/2016)
RR
New Mexico(4/28/2016)
RR
New York(4/28/2016)
RR
North Carolina(4/28/2016)
RR
North Dakota(4/28/2016)
RR
Ohio(4/28/2016)
RR
Oklahoma(4/28/2016)
RR
Oregon(4/28/2016)
RR
Pennsylvania(4/28/2016)
RR
Puerto Rico(4/28/2016)
RR
Rhode Island(4/28/2016)
RR
South Carolina(4/28/2016)
RR
South Dakota(4/28/2016)
RR
Tennessee(4/28/2016)
RR
Texas(4/28/2016)
RR
Utah(4/28/2016)
RR
Vermont(4/28/2016)
RR
Virgin Islands(4/28/2016)
RR
Virginia(4/28/2016)
RR
Washington(4/28/2016)
RR
West Virginia(4/28/2016)
RR
Wisconsin(4/28/2016)
RR
Wyoming(4/28/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PI
PIMCO INVESTMENTS LLC
PIMCO INVESTMENTS LLC
CRD#: 154957 / SEC#: , 8-68686
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1633 Broadway 45th Floor, New York, NY 10019
Mailing Address
1633 Broadway 45th Floor, New York, NY 10019
Phone number
(212) 739-3000
Established
Delaware since 07/07/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PACIFIC INVESTMENT MANAGEMENT COMPANY LLC | SOLE MEMBER | 104559 |
| BENTLEY, JAMES DANIEL | MANAGER, BOARD OF MANAGERS | 5138093 |
| BURG, ANTHONY ALAN | TREASURER | 6005184 |
| DUBITZKY, YITZHAK ZVI | CHIEF COMPLIANCE OFFICER & CHIEF LEGAL OFFICER | 6897287 |
| FERRARI, DAVID RICHARD | PRINCIPAL FINANCIAL OFFICER & FINANCIAL AND OPERATIONS PRINCIPAL | 6004690 |
| HALL, GREGORY WESTON | PRINCIPAL EXECUTIVE OFFICER & CHAIRMAN, BOARD OF MANAGERS | 3111343 |
| OGLESBY, SARAH JANE | SECRETARY | 7676855 |
| PITTERS, CALEB JOSEPH ALEXANDER JR | MANAGER, BOARD OF MANAGERS | 3198603 |
| SUTHERLAND, ERIC MICHAEL | PRESIDENT & MANAGER, BOARD OF MANAGERS | 1724744 |
| THOMAS, MARK GARETH | HEAD OF BUSINESS MANAGEMENT | 2923871 |
| TRACY, LAUREN RITA | MANAGER, BOARD OF MANAGERS | 4027974 |
| WHITTAKER, MEGAN HAYES | AML COMPLIANCE OFFICER | 6442805 |
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.
