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Christopher Mccool

FORESIDE FINANCIAL SERVICES
Charlotte, NC
·CRD# 4352886·25 years experience

Professional Summary

Christopher Mccool, who also goes by Christopher Robert Mccool, is a registered financial advisor currently at FORESIDE FINANCIAL SERVICES, LLC located in Charlotte, North Carolina. Christopher is registered as a RR (Registered Representative) and started their career in finance in 2001. Christopher has worked at 10 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 3, Series 7, Series 24 and Series 30 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Christopher Robert Mccool

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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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 FINANCIAL SERVICES, LLC·CRD# 148477
BD
1. 128 S. Tryon Street Suite 1600, Charlotte, NC 282022. Marblehead, MA
September 29, 2022 - Present
EASTERLY INVESTMENT PARTNERS LLC·CRD# 299607
RIA
New York, NY
June 29, 2020 - September 28, 2022
EASTERLY SECURITIES LLC·CRD# 281103
BD
Beverly, MA
April 18, 2020 - September 7, 2022
NEUBERGER BERMAN BD LLC·CRD# 2908
RIA
Boston, MA
August 15, 2018 - February 18, 2020
NEUBERGER BERMAN BD LLC·CRD# 2908
BD
Boston, MA
April 12, 2018 - February 18, 2020
ALPHAMAX DISTRIBUTORS, L.L.C.·CRD# 8258
BD
La Jolla, CA
September 17, 2012 - April 2, 2018
FORESIDE FUND SERVICES, LLC·CRD# 46106
BD
Portland, ME
October 13, 2011 - September 14, 2012
EATON VANCE MANAGEMENT·CRD# 104859
RIA
Boston, MA
August 25, 2008 - July 8, 2011
EATON VANCE DISTRIBUTORS, INC.·CRD# 37731
BD
Boston, MA
February 6, 2004 - July 8, 2011
FIDELITY BROKERAGE SERVICES LLC·CRD# 7784
BD
Smithfield, RI
August 4, 2003 - February 12, 2004
NATIONAL FINANCIAL SERVICES LLC·CRD# 13041
BD
Boston, MA
July 24, 2002 - August 4, 2003
FIDELITY BROKERAGE SERVICES LLC·CRD# 7784
BD
Smithfield, RI
May 17, 2001 - August 5, 2002

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Current Firm

FF
FORESIDE FINANCIAL SERVICES, LLC

BHIL DISTRIBUTORS, INC. | FORESIDE FINANCIAL SERVICES, LLC | BHIL DISTRIBUTORS, LLC

CRD#: 148477 / SEC#: 8-68027
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

(866) 251-6920

Established

Delaware since 07/31/2016

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Medium

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
FORESIDE DISTRIBUTORS, LLCDIRECTOR OWNER/SOLE MEMBER—
BRUNNER, JENNIFER ANNEVICE PRESIDENT/CHIEF COMPLIANCE OFFICER1137783
COWAN, TERESA MARIA KAZMIERSKIPRESIDENT/MANAGER/DIRECTOR1544189
EDELMAN, GABRIELSECRETARY6654419
LA FOND, SUSAN LORENETREASURER4512785
LANZA, CHRISTOPHER CONTEVICE PRESIDENT2184856
MACCHIA, KATE SCHENDELVICE PRESIDENT4863973
SOMMERS, WESTONCFO/FINOP5290145

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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.

(1) Name of other business: Easterly Partners Group LLC; the business is not investment related; address: 138 Conant Street, Beverly, MA 01915; nature of other business: finance related; position: Senior Vice President; start date: February 10, 2020; 10 hours/month, primarily during trading hours; nature of duties relating to other business: Business Development.
(2) Name of other business: Insperity Inc., a professional employer organization for HR services such as payroll and insurance; start date: February 10, 2020; zero time required. As statutory co-employee this is required to be disclosed pursuant to FINRA Rule 3270.
(3) Name of other business: James Alpha Advisors, LLC, an investment adviser; address: 515 Madison Avenue, 24th Floor, New York, NY 10022; nature of other business: investment related; position: SVP, Client Portfolio Manager; start date: June 15, 2020; 20 hours/month, primarily during trading hours; nature of duties relating to other business: sales.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Alabama
(6/26/2024)
RR
Connecticut
(9/29/2022)
RR
Delaware
(6/26/2024)
RR
District of Columbia
(6/26/2024)
RR
Florida
(6/26/2024)
RR
Georgia
(6/26/2024)
RR
Kentucky
(6/26/2024)
RR
Maine
(9/29/2022)
RR
Maryland
(6/26/2024)
RR
Massachusetts
(9/29/2022)
RR
Michigan
(6/26/2024)
RR
Mississippi
(6/26/2024)
RR
New Hampshire
(9/29/2022)
RR
New Jersey
(6/26/2024)
RR
New York
(9/29/2022)
RR
North Carolina
(3/21/2024)
RR
Ohio
(6/26/2024)
RR
Pennsylvania
(6/26/2024)
RR
Rhode Island
(9/29/2022)
RR
South Carolina
(6/26/2024)
RR
Tennessee
(3/24/2026)
RR
Vermont
(9/29/2022)
RR
Virginia
(6/26/2024)
RR
West Virginia
(6/26/2024)

Exams

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

Series 65 — Uniform Investment Adviser Law Examination

Passed Aug 2018About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Jun 2001About the Series 63 exam

Series 79TO — Investment Banking Registered Representative Examination

Passed Jan 2023About the Series 79TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 3 — National Commodity Futures Examination

Passed Dec 2012About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed May 2001About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Nov 2020About the Series 24 exam

Series 30 — NFA Branch Manager Examination

Passed Jan 2013About the Series 30 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Christopher Mccool's CRS (Customer Relationship Summary).

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