Christopher W. Arthur
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.
Christopher William Arthur was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2004. Christopher had worked at 5 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2014 - February 28, 2023
EATON VANCE MANAGEMENT
June 12, 2014 - February 28, 2023
EATON VANCE DISTRIBUTORS, INC.
October 15, 2012 - October 1, 2013
NESTWISE LLC
November 17, 2006 - June 19, 2014
LPL FINANCIAL LLC
June 17, 2005 - June 19, 2014
LPL FINANCIAL LLC
March 15, 2004 - May 3, 2005
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
Primary Firm SEC Registration
EATON VANCE MANAGEMENT
CRD#: 104859 / SEC#: 801-15930
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
EATON VANCE MANAGEMENT
CRD#: 104859 / SEC#: 801-15930
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,053 |
| AUM (Assets Under Management) | $ 84,879,368,900 |
Red Flags
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