CM
Christopher R. Mccool
FORESIDE FINANCIAL SERVICES
Charlotte, NC 28202
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CRD#: 4352886
CM
Professional summary
Christopher Robert Mccool, who also goes by Christopher Robert Mccool, is a registered financial professional 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.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Christopher Robert Mccool
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.
CRS (Client Relationship Summary) - BD
Click below to view Christopher Robert Mccool's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 29, 2022 - Present
FORESIDE FINANCIAL SERVICES, LLC
Office #1: 128 S. Tryon Street Suite 1600, Charlotte, NC 28202BD
CRD#: 148477
Charlotte, NC
Past
June 29, 2020 - September 28, 2022
EASTERLY INVESTMENT PARTNERS LLC
RIA
CRD#: 299607
New York, NY
Past
April 18, 2020 - September 7, 2022
EASTERLY SECURITIES LLC
BD
CRD#: 281103
Beverly, MA
Past
August 15, 2018 - February 18, 2020
NEUBERGER BERMAN BD LLC
RIA
CRD#: 2908
BOSTON, MA
Past
April 12, 2018 - February 18, 2020
NEUBERGER BERMAN BD LLC
BD
CRD#: 2908
BOSTON, MA
Past
September 17, 2012 - April 2, 2018
ALPHAMAX DISTRIBUTORS, L.L.C.
BD
CRD#: 8258
LA JOLLA, CA
Past
October 13, 2011 - September 14, 2012
FORESIDE FUND SERVICES, LLC
BD
CRD#: 46106
PORTLAND, ME
Past
August 25, 2008 - July 8, 2011
EATON VANCE MANAGEMENT
RIA
CRD#: 104859
BOSTON, MA
Past
February 6, 2004 - July 8, 2011
EATON VANCE DISTRIBUTORS, INC.
BD
CRD#: 37731
BOSTON, MA
Past
August 4, 2003 - February 12, 2004
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Past
July 24, 2002 - August 4, 2003
NATIONAL FINANCIAL SERVICES LLC
BD
CRD#: 13041
BOSTON, MA
Past
May 17, 2001 - August 5, 2002
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
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
Illinois(6/26/2024)
RR
Indiana(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(6/26/2024)
RR
Vermont(9/29/2022)
RR
Virginia(6/26/2024)
RR
West Virginia(6/26/2024)
RR
Wisconsin(6/26/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
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)
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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
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | DIRECTOR OWNER/SOLE MEMBER | |
| BRUNNER, JENNIFER ANNE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 1137783 |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
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.
