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Christopher S. Delgado

GLOBALIST CAPITAL
Santa Monica, CA 90401
Some features on this profile are disabled
CRD#: 5815342
CD

Professional summary

Christopher Stephen Delgado, who also goes by Christopher Delgado, is a registered financial professional currently at GLOBALIST CAPITAL, LLC located in Santa Monica, California.

Christopher is registered as a RR (Registered Representative) and started their career in finance in 2012. Christopher has worked at 2 firms and has passed the Series 63, Series 79TO, SIE, Series 79 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Christopher Delgado

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 Stephen Delgado'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®
None

Experience

Current

February 27, 2019 - Present

GLOBALIST CAPITAL, LLC

Office #1: 100 Wilshire Blvd. Suite 750, Santa Monica, CA 90401
BD
CRD#: 152786
Santa Monica, CA
Past

July 15, 2013 - August 4, 2015

HOULIHAN LOKEY CAPITAL, INC.

BD
CRD#: 17708
LOS ANGELES, CA
Past

October 2, 2012 - March 4, 2013

GLOBALIST CAPITAL, LLC

BD
CRD#: 152786
SANTA MONICA, CA

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.

Exams

State Security Law Exam
RR
Series 63
Date: 8/26/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 2/11/2019
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/4/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 10/1/2012
Investment Banking Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/25/2025
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

GC
GLOBALIST CAPITAL, LLC
GLOBALIST CAPITAL, LLC | HIGHLINE SECURITIES, LLC | GLOBALIST SECURITIES, LLC

CRD#: 152786 / SEC#: , 8-68478

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
100 Wilshire Blvd. Suite 750, Santa Monica, CA 90401
Mailing Address
100 Wilshire Blvd. Suite 750, Santa Monica, CA 90401
Phone number
(310) 319-2000
Established
Delaware since 11/06/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BARON ADVISORS, LLCMANAGING MEMBER
KIRSCHENBLATT, CHAD ETHANCFO/FINOP2503352
MORGANBESSER, NEIL BARRYCEO/CCO2375615

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

GLOBALIST CAPITAL, LLC

CRD#: 152786Santa Monica, CA 90401

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