Christopher Cole Moran
Professional Summary
Christopher Cole Moran is a registered financial advisor currently at CBOE TRADING, INC. located in Overland Park, Kansas. Christopher is registered as a RR (Registered Representative) and started their career in finance in 2018. Christopher has worked at 1 firm and has passed the SIE, Series 57 and Series 3 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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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 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
17 years registered in the securities industry
Current & Past Employments
Current
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Current Firm
BATS TRADING, INC. | CBOE TRADING, INC.
Contact Information
Main Address
6800 West 115th Street Suite 260, Overland Park, KS 66211Mailing Address
6800 West 115th Street Suite 260, Overland Park, KS 66211Phone Number
(913) 815-7000Established
Delaware since 06/16/2005Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (1 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CBOE SERVICES COMPANY | OWNER | — |
| CHMIELEWSKI, COLE MICHAEL | PRESIDENT | 5740206 |
| GOODMAN, SYDNEY LINDEN | FINOP | 7092589 |
| JOHNSTON, SCOTT LOCHWOOD | DIRECTOR | 6921183 |
| SEXTON, JOHN PATRICK | SECRETARY | 7152089 |
| UPP, WILLIAM BRYAN | CHIEF COMPLIANCE OFFICER | 2976682 |
| WILKINSON, ALLEN LLOYD | VICE PRESIDENT | 7432624 |
| YEAZEL, TROY CHARLES | DIRECTOR | 5492474 |
Disclosures
Regulatory Event
1Similar Advisors
IDS LIFE INSURANCE COMPANY
CONVERGENT FINANCIAL GROUP
J.P. MORGAN SECURITIES LLC
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Christopher Cole Moran's CRS (Customer Relationship Summary).
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