CF
Christopher E. Foster
PROCYON
Shelton, CT 06484
Some features on this profile are disabled
CRD#: 5574029
CF
Professional summary
Christopher Edwin Foster, who also goes by Christopher E. Foster, is a registered financial advisor currently at PROCYON located in Shelton, Connecticut and PURSHE KAPLAN STERLING INVESTMENTS located in Shelton, Connecticut.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Christopher has worked at 4 firms and has passed the Series 66, Series 99TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Christopher E. Foster
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.
1. Procyon Benefits. Not Investment Related. One Corporate Drive, Shelton CT 06484. Collect referral fees. Part Owner. Start 01/2019. 5 hours per month not during trading. Established to collect referral fees. 2. Insurance Producer. Investment Related. One Corporate Drive, Shelton CT 06484. Insurance. Producer. Start 11/2008. 0 hours per month. Maintain active license. 3. Procyon Advisors, LLC dba Procyon, LLC. Investment Related. At Registered Location. RIA. Financial Advisor. Start Date: 06/02/2017. 160 hrs/ month; 8hrs/ month during trading hours. Provide investment advice to clients 4. Procyon Risk, LLC. Not investment related. Office of Employment Address. Insurance Agency. Managing Director. 1/1/2023. 5 hrs/mo. 0 hrs during trading. I am an owner and partner in the business. I will be overseeing other insurance producers who work for Prcyon Risk and will assist in directing their engagement with clients. I will also have responsibility for managing the enterprise as Principal of the Firm. 5. Procyon Tax, LLC 2. Not investment related. Office of Employment address. Referral Business for Tax Services. Owner, managing director. 1/1/2023. 5 hrs/mo. 0 hrs during trading. I am an owner and partner in the business. As a principal of the firm I will be responsible for managing the businesses finances and vendor relationships. This is a referral entity setup to refer clients to our CPA partners who provide tax advice to clients.
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Edwin Foster's 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®
NoneExperience
Current
June 2, 2017 - Present
PROCYON
Office #1: 1 Corporate Drive Suite 225, Shelton, CT 06484RIA
CRD#: 288239
Shelton, CT
Current
May 30, 2019 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 1 Corporate Drive Suite 225, Shelton, CT 06484BD
CRD#: 35747
Shelton, CT
Past
November 16, 2017 - December 31, 2021
PROCYON INSTITUTIONAL PARTNERS, LLC
RIA
CRD#: 288244
SHELTON, CT
Past
June 1, 2009 - June 28, 2017
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
STAMFORD, CT
Past
June 1, 2009 - June 28, 2017
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
STAMFORD, CT
Past
October 13, 2008 - May 13, 2009
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
STAMFORD, CT
Past
September 8, 2008 - May 13, 2009
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
STAMFORD, CT
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".
PR
PROCYON
PROCYON | PROCYON TRUST | PROCYON PRIVATE WEALTH PARTNERS, LLC | PROCYON PRIVATE WEALTH PARTNERS LLC | PROCYON PARTNERS | PROCYON ADVISORS, LLC
CRD#: 288239 / SEC#: 801-110493
RIA
Registered Investment Advisory firm - (5/26/2017 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
Arizona(11/17/2021)
RR
Arkansas(1/11/2024)
RR
California(12/11/2020)
IAR
Connecticut(6/2/2017)
RR
Connecticut(5/30/2019)
RR
Florida(10/18/2021)
RR
Illinois(1/11/2024)
RR
Kansas(1/30/2024)
RR
Maine(11/30/2023)
RR
Maryland(12/1/2022)
RR
Massachusetts(1/14/2023)
RR
Michigan(11/28/2023)
RR
New Jersey(11/1/2022)
RR
New York(11/17/2021)
RR
North Carolina(3/15/2023)
RR
South Carolina(11/30/2023)
RR
Utah(11/17/2021)
RR
Virginia(4/10/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PR
PROCYON
PROCYON | PROCYON TRUST | PROCYON PRIVATE WEALTH PARTNERS, LLC | PROCYON PRIVATE WEALTH PARTNERS LLC | PROCYON PARTNERS | PROCYON ADVISORS, LLC
CRD#: 288239 / SEC#: 801-110493
RIA
Registered Investment Advisory firm - (5/26/2017 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1 Corporate Drive Suite 225, Shelton, CT 06484
Mailing Address
Phone number
(475) 232-2704
Established
Firm type
Fiscal year end
# of Employees
47
SEC notice filing (28 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 5,638 |
| AUM (Assets Under Management) | $ 7,769,672,465 |
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.
Company Information
PROCYON
CRD#: 288239Shelton, CT 06484TRUST BUT VERIFY
Monitor Christopher Foster
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
