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CH

Christopher J. Hitzman

Some features on this profile are disabled
CRD#: 4288522
CH

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 John Hitzman, who also goes by Chris J Hitzman, Chris Hitzman, was a registered financial professional .

Christopher is a previously registered financial professional and started their career in finance in 2001. Christopher had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chris J Hitzman | Chris Hitzman

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

July 22, 2020 - March 1, 2024

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
Mandeville, LA
Past

July 17, 2020 - April 24, 2026

TRUWEALTH ADVISORS, LLC

RIA
CRD#: 306876
Mandeville, LA
Past

January 22, 2014 - July 22, 2020

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
MANDEVILLE, LA
Past

January 21, 2014 - July 22, 2020

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MANDEVILLE, LA
Past

February 15, 2006 - January 30, 2014

MSI FINANCIAL SERVICES, INC.

RIA
CRD#: 14251
MANDEVILLE, LA
Past

January 18, 2006 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
MANDEVILLE, LA
Past

January 18, 2006 - January 30, 2014

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
MANDEVILLE, LA
Past

February 27, 2002 - January 19, 2006

EDWARD JONES

BD
CRD#: 250
MADISONVILLE, LA
Past

February 23, 2001 - February 22, 2002

BANC ONE SECURITIES CORPORATION

BD
CRD#: 16999
CHICAGO, IL

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
RR
Series 63
Date: 4/18/2002
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 7
Date: 4/15/2002
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/22/2001
Investment Company Products/Variable Contracts Representative Examination

Current Firm

PK
PURSHE KAPLAN STERLING INVESTMENTS
PURSHE KAPLAN STERLING INVESTMENTS | SARATOGA 21ST, LTD. | PURSHE KAPLAN STERLING INVESTMENTS, INC.

CRD#: 35747 / SEC#: , 8-46844

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
80 State Street, Albany, NY 12207
Mailing Address
80 State Street, Albany, NY 12207
Phone number
(518) 436-3536
Established
New York since 12/16/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PKS HOLDINGS, LLCHOLDING CO.
BOHLEY, TRACEY LEACHIEF FINANCIAL OFFICER4826937
FLOUTON, KATHERINE MARIEPRESIDENT4405001
KVAM, PETER DAVIDCHIEF COMPLIANCE OFFICER4301918
MOTTA, CHRISTOPHER JOHNCOO2741133
PURCELL, JOHN PETERC.E.O.1664678

Disclosures

Regulatory Event11
Arbitration2

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

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

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