Christopher K. Simmons
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 Kennedy Simmons was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2002. Christopher had worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 19, 2008 - May 21, 2018
LAZARD MIDDLE MARKET LLC
June 4, 2008 - July 23, 2008
GOLDSMITH, AGIO, HELMS SECURITIES, INC.
January 27, 2005 - September 27, 2007
MORGAN STANLEY & CO. LLC
May 2, 2002 - January 28, 2005
RBC CAPITAL MARKETS, LLC
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
LAZARD MIDDLE MARKET LLC
CRD#: 146092 / SEC#: , 8-67786
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
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.
