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Christopher Adam Hultquist

CRD# 4352143·Registered 2001 - 2015
Previously Registered: Being a previously registered professional could mean that Christopher 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.

Professional Summary

Christopher Adam Hultquist, who also goes by Chris Hultquist, was a registered financial advisor. Christopher was a previously registered financial professional and started their career in finance 2001 - 2015. Christopher had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Chris Hultquist

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

25 years in the financial services industry

Current & Past Employments

FORESIDE FUND SERVICES, LLC·CRD# 46106
BD
Chicago, IL
November 6, 2014 - February 19, 2015
NORTHERN LIGHTS DISTRIBUTORS, LLC·CRD# 126159
BD
Elkhorn, NE
September 9, 2013 - November 7, 2014
GOOD HARBOR FINANCIAL·CRD# 127351
RIA
Chicago, IL
July 26, 2013 - January 2, 2015
MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.·CRD# 111135
RIA
Chicago, IL
October 6, 2009 - June 17, 2013
MESIROW FINANCIAL, INC.·CRD# 2764
BD
Chicago, IL
October 6, 2009 - June 17, 2013
UBS FINANCIAL SERVICES INC.·CRD# 8174
RIA
Chicago, IL
January 30, 2006 - October 6, 2009
UBS FINANCIAL SERVICES INC.·CRD# 8174
BD
Chicago, IL
January 12, 2006 - October 6, 2009
COWEN AND COMPANY·CRD# 7616
BD
New York, NY
April 8, 2004 - January 18, 2005
GLOBAL ATLANTIC DISTRIBUTORS, LLC·CRD# 8326
BD
Hartford, CT
February 27, 2001 - February 24, 2004

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Current Firm

FF
FORESIDE FUND SERVICES, LLC

FORESIDE FUND SERVICES, LLC | FORUM FUND SERVICES, LLC

CRD#: 46106 / SEC#: 8-51293
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)

Contact Information

Main Address

190 Middle Street Suite 301, Portland, ME 04101

Mailing Address

190 Middle Street Suite 301, Portland, ME 04101

Phone Number

(207) 553-7110

Established

Delaware since 09/08/1998

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Large

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FORESIDE DISTRIBUTORS, LLCSOLE MEMBER—
COWAN, TERESA MARIA KAZMIERSKIPRES/MANAGER/DIRECTOR1544189
EDELMAN, GABRIELSECRETARY6654419
LA FOND, SUSAN LORENETREASURER4512785
LANZA, CHRISTOPHER CONTEVICE PRESIDENT2184856
MACCHIA, KATE SCHENDELVICE PRESIDENT4863973
SOMMERS, WESTONCFO/FINOP5290145
STROUT, ALICIA KIMBERLYCHIEF COMPLIANCE OFFICER/VICE PRESIDENT6320351

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Jan 2006About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 2001About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Feb 2015About the SIE exam

Series 7 — General Securities Representative Examination

Passed Apr 2004About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Feb 2001About the Series 6 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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