Christopher J. Lacroix
Professional summary
Christopher Joseph Lacroix, who also goes by Christopher Joseph La Croix Jr., Christopher Joseph La Croix, Christopher La Croix, Christopher Joseph Lacroix Jr., Christopher J Lacroix, is a registered financial professional currently at HARRIS WILLIAMS located in New York, New York.
Christopher is registered as a RR (Registered Representative) and started their career in finance in 2011. Christopher has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Christopher Joseph Lacroix's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 14, 2023 - Present
HARRIS WILLIAMS
Office #1: 600 Lexington Ave. 11th Floor, New York, NY 10022June 23, 2021 - March 24, 2023
PANTHEON SECURITIES, LLC
December 7, 2018 - June 15, 2021
NEUBERGER BERMAN BD LLC
December 7, 2018 - June 15, 2021
NEUBERGER BERMAN BD LLC
April 9, 2014 - November 9, 2018
INVESCO ADVISERS, INC.
January 2, 2014 - November 9, 2018
INVESCO DISTRIBUTORS, INC.
September 26, 2011 - December 6, 2013
SANFORD C. BERNSTEIN & CO., LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/14/2023)
Exams
FINRA
Current Firm
HARRIS WILLIAMS
CRD#: 113930 / SEC#: , 8-53380
Contact information
FINRA licenses (45 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PNC BANK, NATIONAL ASSOCIATION | PARENT | |
| BALTIMORE, ROBERT MARTIN | BOARD MEMBER / CO-CEO | 4445610 |
| HART, JASON EDWARD HEATH | FINOP | 4173982 |
| HART, JASON EDWARD HEATH | PRINCIPAL FINANCIAL OFFICER | 4173982 |
| HART, JASON EDWARD HEATH | PRINCIPAL OPERATIONS OFFICER | 4173982 |
| LONG, GEORGE PHILLIP MR. | CHIEF LEGAL OFFICER AND SECRETARY OF THE BOARD | 5094038 |
| NEUNER, JOHN IV | BOARD MEMBER / CO-CEO | 4578584 |
| POGGI, PAUL THOMAS | CHIEF OPERATING OFFICER AND BOARD MEMBER | 5277661 |
| THOMAS, MICHAEL DUANE | BOARD MEMBER | 2992653 |
| VALENTINE, EDWARD WEST | CHAIRMAN OF THE BOARD OF MANAGERS | 2399981 |
| VAN DER WAAG, ASHLEY HOGUE | CHIEF COMPLIANCE OFFICER | 3079633 |
| WILLIAMS, JULIE ANN | BOARD MEMBER | 6040587 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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