Christopher F. Harrington

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CRD#: 5250991

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 F Harrington JR, who also goes by Christopher Francis Harrington Jr., Christopher Francis Harrington, was a registered financial professional .

Christopher is a previously registered financial professional and started their career in finance in 2006. Christopher had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Christopher Francis Harrington Jr. | Christopher Francis Harrington

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.

I*106177 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: SPOTIFY INVESTMENT RELATED: N ADDRESS OF BUSINESS: NEW YORK, NEW YORK 10011 NATURE OF BUSINESS: CORPORATION, POSITION, TITLE, ASSOCIATION: PARTICIPANT, START DATE OF RELATIONSHIP: 6/30/2017 NUMBER OF HOURS DEVOTED: 20 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: SEVERAL SONGS THAT WILL BE RECORDED WILL BE LOADED ONTO SPOTIFY'S STREAMING PLATFORM AND COULD POTENTIALLY GENERATE REVENUE OF SOME KIND.

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

January 17, 2018 - June 30, 2022

LAIDLAW WEALTH MANAGEMENT LLC

RIA

CRD#: 150040

NEW YORK, NY

Past

December 14, 2017 - June 30, 2022

LAIDLAW & COMPANY (UK) LTD.

CRD#: 119037

NEW YORK, NY

Past

June 17, 2011 - December 1, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEW YORK, NY

Past

May 11, 2011 - December 1, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

January 5, 2009 - January 29, 2010

JOHN THOMAS FINANCIAL

CRD#: 40982

NEW YORK, NY

Past

November 2, 2007 - December 26, 2008

UBS FINANCIAL SERVICES INC.

CRD#: 8174

NEW YORK, NY

Past

August 14, 2007 - November 5, 2007

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

NEW YORK, NY

Past

August 7, 2007 - November 5, 2007

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

July 17, 2007 - August 3, 2007

JOHN THOMAS FINANCIAL

CRD#: 40982

NEW YORK, NY

Past

November 22, 2006 - July 20, 2007

EASTBROOK CAPITAL GROUP LLC

CRD#: 39781

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LAIDLAW WEALTH MANAGEMENT LLC

CRD#: 150040 / SEC#: 801-112592

RIA

Registered Investment Advisory firm - (3/9/2018 Approved)

New Jersey

Registered Investment Advisory firm - (4/13/2018 Terminated)

New York

Registered Investment Advisory firm - (4/5/2018 Terminated)

North Carolina

Registered Investment Advisory firm - (4/5/2018 Terminated)

Texas

Registered Investment Advisory firm - (4/5/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/15/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/4/2006

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: 11/21/2006

General Securities Representative Examination

Current Firm

LAIDLAW WEALTH MANAGEMENT LLC

CRD#: 150040 / SEC#: 801-112592

RIA

Registered Investment Advisory firm - (3/9/2018 Approved)

New Jersey

Registered Investment Advisory firm - (4/13/2018 Terminated)

New York

Registered Investment Advisory firm - (4/5/2018 Terminated)

North Carolina

Registered Investment Advisory firm - (4/5/2018 Terminated)

Texas

Registered Investment Advisory firm - (4/5/2018 Terminated)

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Contact information

Main Address

521 Fifth Ave 12th Floor, New York, NY 10175

Mailing Address

Phone number

(212) 953-4910

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LAIDLAW WEALTH MANAGEMENT FORM ADV PART 2A (MARCH 28, 2025) (3/28/2025)

Regulatory assets under management

Total Number of Accounts	235
AUM (Assets Under Management)	$ 114,764,475

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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Firm Stability Insights

Christopher F. Harrington

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LAIDLAW & COMPANY (UK) LTD.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

JOHN THOMAS FINANCIAL

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

JOHN THOMAS FINANCIAL

EASTBROOK CAPITAL GROUP LLC

Primary Firm SEC Registration

LAIDLAW WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/15/2011

Series 63

Date: 12/4/2006

SIE

Date: 10/1/2018

Series 7

Date: 11/21/2006

Current Firm

LAIDLAW WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LAIDLAW WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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