Christopher Patrick Hartofilis
Professional Summary
Christopher Patrick Hartofilis, who also goes by Christopher Hartofilis, is a registered financial advisor currently at RABO SECURITIES USA, INC. located in New Canaan, Connecticut. Christopher is registered as a RR (Registered Representative) and started their career in finance in 2003. Christopher has worked at 3 firms and has passed the Series 63, Series 79TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Christopher Hartofilis
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
23 years in the financial services industry
Current & Past Employments
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Current Firm
RABO SECURITIES USA, INC. | RABO SECURITIES USA, INCORPORATED
Contact Information
Main Address
151 West 42nd Street 8th Floor, New York, NY 10036Mailing Address
151 West 42nd Street 8th Floor, New York, NY 10036Phone Number
(212) 808-2548Established
Delaware since 03/22/1999Firm Type
CorporationFiscal Year End
DecemberFirm Size
MediumFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UTRECHT-AMERICA HOLDINGS, INC | SOLE SHAREHOLDER | — |
| AMIN, SHREYA | SECRETARY | 7368182 |
| BASSETT, DAVID FRANCIS | CHAIRMAN | 2802027 |
| CHESTER, WILLIAM PETER | DIRECTOR | 5868288 |
| DEMAZURE PELLETIER, CHRISTINE MARIE | DIRECTOR | 5481370 |
| HARTOFILIS, CHRISTOPHER PATRICK | INTERIM CHIEF EXECUTIVE OFFICER AND DIRECTOR | 4707844 |
| KITTEL, CHRISTOPHER FREDERICK | CHIEF COMPLIANCE OFFICER | 2718043 |
| LAMPER, KATHERINE S | DIRECTOR | 5202959 |
| LAZAROV, DUSAN OBRAD | DIRECTOR | 7904295 |
| MARTENS, ANDREA MARIE | FINANCIAL AND OPERATIONS PRINCIPAL | 1187593 |
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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
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Mar 2004SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Christopher Patrick Hartofilis's CRS (Customer Relationship Summary).
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