Christopher T. Lloyd

MOELIS & COMPANY LLC

New York, NY 10022

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CRD#: 5538421

Professional summary

Christopher Thomas Lloyd, who also goes by Chris Lloyd, Christopher Thomas Lloyd, is a registered financial professional currently at MOELIS & COMPANY LLC located in New York, New York.

Christopher is registered as a RR (Registered Representative) and started their career in finance in 2009. Christopher has worked at 6 firms and has passed the Series 63, SIE, Series 79, Series 87 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Chris Lloyd | Christopher Thomas Lloyd

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 Thomas Lloyd'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

November 5, 2025 - Present

MOELIS & COMPANY LLC

Office #1: 399 Park Avenue 4th Floor, New York, NY 10022

CRD#: 145115

New York, NY

Past

May 13, 2020 - February 12, 2025

SCOTIA CAPITAL (USA) INC.

CRD#: 2739

NEW YORK, NY

Past

September 14, 2015 - September 23, 2019

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

February 27, 2014 - December 9, 2014

BNP PARIBAS SECURITIES CORP.

CRD#: 15794

NEW YORK, NY

Past

March 21, 2012 - January 9, 2014

LAZARD MIDDLE MARKET LLC

CRD#: 146092

NEW YORK, NY

Past

December 11, 2009 - January 13, 2011

KEEFE, BRUYETTE & WOODS, INC.

CRD#: 481

NEW YORK, NY

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

New Jersey
(11/5/2025)

New York
(11/5/2025)

Exams

State Security Law Exam

Series 63

Date: 3/1/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 9/24/2015

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 87

Date: 9/29/2010

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 12/10/2009

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

MOELIS & COMPANY LLC

MOELIS | MOELIS & COMPANY LLC | MOELIS & COMPANY

CRD#: 145115 / SEC#: , 8-67705

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

399 Park Avenue 4th Floor, New York, NY 10022

Mailing Address

399 Park Avenue 4th Floor, New York, NY 10022

Phone number

(212) 883-3800

Established

Delaware since 06/12/2007

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
MOELIS & COMPANY GROUP LP	PARENT COMPANY
CALLESANO, CHRIS PETER	CFO, PRINCIPAL OPERATIONS OFFICER AND PRINCIPAL FINANCIAL OFFICER	4889259
MAHMOODZADEGAN, NAVID ALI	CHIEF EXECUTIVE OFFICER	2609804
MOELIS, KENNETH DAVID	EXECUTIVE CHAIRMAN	1015047
PILCHER CIAFONE, KATHERINE CELY	CHIEF OPERATING OFFICER	4573006
RAICH, JEFFREY ALAN	EXECUTIVE VICE CHAIRMAN	2016620
WATANABE, OSAMU RICHARD	CHIEF LEGAL OFFICER AND CHIEF COMPLIANCE OFFICER	2875185

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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Advisor Monitoring

Firm Stability Insights

Christopher T. Lloyd

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Christopher Thomas Lloyd's CRS (Customer Relationship Summary).

Certified licenses

Experience

SCOTIA CAPITAL (USA) INC.

DEUTSCHE BANK SECURITIES INC.

BNP PARIBAS SECURITIES CORP.

LAZARD MIDDLE MARKET LLC

KEEFE, BRUYETTE & WOODS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/1/2010

SIE

Date: 10/1/2018

Series 79

Date: 9/24/2015

Series 87

Date: 9/29/2010

Series 7

Date: 12/10/2009

FINRA

Current Firm

MOELIS & COMPANY LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

MOELIS & COMPANY LLC

TRUST BUT VERIFY

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