Christopher R. Stapleton

FUNDS DISTRIBUTOR

Miami, FL 33131

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CRD#: 4860938

Professional summary

Christopher Richard Stapleton is a registered financial professional currently at FUNDS DISTRIBUTOR, LLC located in Miami, Florida.

Christopher is registered as a RR (Registered Representative) and started their career in finance in 2004. Christopher has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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) - BD

Click below to view Christopher Richard Stapleton's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 2, 2014 - Present

FUNDS DISTRIBUTOR, LLC

Office #1: 200 South Biscayne Blvd Ste 403, Miami, FL 33131

CRD#: 7174

Miami, FL

Past

May 5, 2010 - December 31, 2013

OLD MUTUAL INVESTMENT PARTNERS

CRD#: 44916

BOSTON, MA

Past

November 6, 2006 - February 26, 2010

SKANDIA SECURITIES AMERICAS, INC.

CRD#: 126822

BOSTON, MA

Past

June 20, 2005 - September 12, 2006

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

CRD#: 21570

SHELTON, CT

Past

November 4, 2004 - April 11, 2005

SKANDIA SECURITIES AMERICAS, INC.

CRD#: 126822

BOSTON, MA

State Registrations and Notice Filings

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

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

Arizona
(1/2/2014)

California
(1/2/2014)

Connecticut
(1/2/2014)

Delaware
(1/2/2014)

District of Columbia
(1/2/2014)

Florida
(1/2/2014)

Georgia
(1/2/2014)

Hawaii
(1/9/2014)

Massachusetts
(1/2/2014)

New Jersey
(1/2/2014)

New York
(1/2/2014)

Pennsylvania
(1/4/2016)

Texas
(1/2/2014)

Exams

State Security Law Exam

Series 63

Date: 1/9/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/3/2004

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

FUNDS DISTRIBUTOR, LLC

FUNDS DISTRIBUTOR, INC. | THE BOSTON COMPANY CAPITAL GROUP, INC. | TBC FUNDS DISTRIBUTOR, INC. | FUNDS DISTRIBUTOR, LLC

CRD#: 7174 / SEC#: , 8-20518

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 01/01/2008

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
FORESIDE DISTRIBUTORS, LLC	SOLE MEMBER
COWAN, TERESA MARIA KAZMIERSKI	PRES/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
STROUT, ALICIA KIMBERLY	CHIEF COMPLIANCE OFFICER/VICE PRESIDENT	6320351

Disclosures

Regulatory Event

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.

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Christopher R. Stapleton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Christopher Richard Stapleton's CRS (Customer Relationship Summary).

Certified licenses

Experience

FUNDS DISTRIBUTOR, LLC

OLD MUTUAL INVESTMENT PARTNERS

SKANDIA SECURITIES AMERICAS, INC.

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

SKANDIA SECURITIES AMERICAS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/9/2007

SIE

Date: 10/1/2018

Series 7

Date: 11/3/2004

FINRA

Current Firm

FUNDS DISTRIBUTOR, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FUNDS DISTRIBUTOR, LLC

TRUST BUT VERIFY

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