Christopher Kuhl
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 Kuhl, who also goes by Chris Kuhl, Christopher Robert Kuhl, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1999. Christopher had worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2021 - January 12, 2022
THORNBURG SECURITIES LLC
September 28, 2015 - September 5, 2019
NUVEEN SECURITIES, LLC
September 13, 2007 - June 8, 2009
B. C. ZIEGLER AND COMPANY
September 13, 2007 - June 8, 2009
B. C. ZIEGLER AND COMPANY
February 13, 2006 - May 23, 2007
ZACKS INVESTMENT MANAGEMENT, INC.
February 24, 2003 - July 21, 2003
OSAIC FA, INC.
February 24, 2003 - July 21, 2003
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
February 24, 2003 - July 21, 2003
OSAIC FA, INC.
November 26, 2002 - December 12, 2002
IDS LIFE INSURANCE COMPANY
November 26, 2002 - December 12, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
March 18, 1999 - August 26, 1999
DWS DISTRIBUTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
THORNBURG SECURITIES LLC
CRD#: 14857 / SEC#: , 8-31249
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THORNBURG INVESTMENT MANAGEMENT INC | SOLE MEMBER | 106357 |
| BHATT, NIMISH SANJAY | TREASURER, PRINCIPAL FINANCIAL OFFICER | 2789977 |
| BROWNELL, JESSE RYAN | GLOBAL HEAD OF DISTRIBUTION | 5511918 |
| CALLOW, AMY | SECRETARY | |
| HOLLOWAY, CURTIS EDWARD | PRINCIPAL OPERATIONS OFFICER | 5130594 |
| OLEXSAK, RONALD | CHIEF COMPLIANCE OFFICER | 2858575 |
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.
