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CS

Christian C. Stone

Some features on this profile are disabled
CRD#: 4621534
CS

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.

Christian Charles Stone, who also goes by Chris Stone, was a registered financial professional .

Christian is a previously registered financial professional and started their career in finance in 2003. Christian had worked at 10 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chris Stone

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 25, 2017 - April 1, 2019

LION STREET FINANCIAL, LLC

BD
CRD#: 165828
Quincy, MA
Past

November 23, 2016 - April 2, 2019

PRW WEALTH MANAGEMENT LLC

RIA
CRD#: 284669
QUINCY, MA
Past

May 9, 2016 - December 5, 2016

KESTRA ADVISORY SERVICES, LLC

RIA
CRD#: 283330
QUINCY, MA
Past

August 6, 2014 - September 22, 2016

KESTRA INVESTMENT SERVICES, LLC

RIA
CRD#: 42046
QUINCY, MA
Past

July 29, 2014 - December 5, 2016

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
QUINCY, MA
Past

September 16, 2013 - July 29, 2014

MORGAN STANLEY

RIA
CRD#: 149777
BOSTON, MA
Past

September 16, 2013 - July 29, 2014

MORGAN STANLEY

BD
CRD#: 149777
BOSTON, MA
Past

October 27, 2009 - September 13, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
BOSTON, MA
Past

October 23, 2009 - September 13, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
BOSTON, MA
Past

May 27, 2008 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
BOSTON, MA
Past

July 22, 2005 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA
Past

September 9, 2004 - July 8, 2005

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
CHICAGO, IL
Past

January 7, 2004 - August 11, 2004

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
TAMPA, FL
Past

January 17, 2003 - January 8, 2004

HARRISON SECURITIES, INC.

BD
CRD#: 14103
PORT WASHINGTON, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/15/2008
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 1/27/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/16/2003
General Securities Representative Examination

Current Firm

LS
LION STREET FINANCIAL, LLC
LION STREET FINANCIAL, LLC

CRD#: 165828 / SEC#: , 8-69183

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
300 Colorado St Suite 2600, Austin, TX 78701
Mailing Address
300 Colorado St Suite 2600, Austin, TX 78701
Phone number
(512) 776-8400
Established
Delaware since 01/07/2022
Firm type
Limited Liability Company
Fiscal year end
January
Firm Size
Small
# of Employees

FINRA licenses (23 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LION STREET, LLCHOLDING COMPANY
BURMEISTER, JOHN FREDRICK IIPRESIDENT & CEO4245451
HECKLER, CARIE MARIECHIEF COMPLIANCE OFFICER4557559
RATAJCZAK, KARIFINANCIAL & OPERATIONS PRINCIPAL6008791

Disclosures

Regulatory Event1

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.

Company Information

LION STREET FINANCIAL, LLC

CRD#: 165828

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