Christopher L. Shin
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 Linshik Shin, who also goes by Chris Shin, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2001. Christopher had worked at 10 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 30, 2020 - June 12, 2023
ALTI STRATEGIC ADVISORY (US) BD, LLC
February 15, 2018 - July 25, 2019
FORESIDE FUND SERVICES, LLC
June 3, 2017 - June 12, 2023
ALVARIUM INVESTMENT MANAGERS (US), LLC
July 27, 2015 - November 21, 2017
HIGHTOWER ADVISORS, LLC
July 27, 2015 - November 21, 2017
HIGHTOWER SECURITIES, LLC
August 17, 2010 - August 19, 2015
GUGGENHEIM INVESTOR SERVICES, LLC
November 23, 2009 - August 19, 2015
GUGGENHEIM INVESTMENT ADVISORS, LLC
October 30, 2006 - June 25, 2008
GOLDMAN SACHS & CO. LLC
July 11, 2003 - March 17, 2005
WELLS FARGO SECURITIES, LLC
October 25, 2001 - June 25, 2003
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ALTI STRATEGIC ADVISORY (US) BD, LLC
CRD#: 304839 / SEC#: , 8-70387
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALTI ASSET MANAGEMENT HOLDINGS 2 LIMITED | SOLE MEMBER | |
| GROSSMAN, JAMIE IVAN | PRINCIPAL | 6454053 |
| LANGLEY, CHAD OMAR-JAI | CHIEF EXECUTIVE OFFICER | 5212889 |
| MERLINO, NICHOLAS JOSEPH | CHIEF COMPLIANCE OFFICER | 5730516 |
| SHAW, ANTHONY | FINANCIAL AND OPERATIONS PRINCIPAL, PRINCIPAL FINANCIAL OFFICER, AND PRINCIPAL OPERATIONS OFFICER | 7338445 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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