CT
Christopher J. Tocco
MGI FUNDS DISTRIBUTORS
Charlotte, NC 28205
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CRD#: 6102530
CT
Professional summary
Christopher John Tocco, who also goes by Christopher John Tocco, Christopher Tocco, is a registered financial professional currently at MGI FUNDS DISTRIBUTORS, LLC located in Charlotte, North Carolina.
Christopher is registered as a RR (Registered Representative) and started their career in finance in 2012. Christopher has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Christopher John Tocco | Christopher Tocco
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.
CRS (Client Relationship Summary) - BD
Click below to view Christopher John Tocco'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
February 24, 2023 - Present
MGI FUNDS DISTRIBUTORS, LLC
Office #1: 100 N. Tryon Street Suite 3600, Charlotte, NC 28205BD
CRD#: 35682
Charlotte, NC
Past
December 10, 2022 - January 18, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CHARLOTTE, NC
Past
January 2, 2014 - September 21, 2020
FUNDS DISTRIBUTOR, LLC
BD
CRD#: 7174
BOSTON, MA
Past
November 30, 2012 - December 31, 2013
OLD MUTUAL INVESTMENT PARTNERS
BD
CRD#: 44916
BOSTON, MA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(2/27/2023)
RR
Alaska(2/27/2023)
RR
Arizona(3/9/2023)
RR
Arkansas(3/1/2023)
RR
California(2/24/2023)
RR
Colorado(2/28/2023)
RR
Connecticut(2/24/2023)
RR
Delaware(3/9/2023)
RR
District of Columbia(3/16/2023)
RR
Florida(2/27/2023)
RR
Georgia(2/27/2023)
RR
Hawaii(2/27/2023)
RR
Idaho(2/24/2023)
RR
Illinois(3/3/2023)
RR
Indiana(3/1/2023)
RR
Iowa(3/2/2023)
RR
Kansas(2/24/2023)
RR
Kentucky(2/27/2023)
RR
Louisiana(2/27/2023)
RR
Maine(2/27/2023)
RR
Maryland(2/28/2023)
RR
Massachusetts(2/27/2023)
RR
Michigan(3/1/2023)
RR
Minnesota(3/8/2023)
RR
Mississippi(2/27/2023)
RR
Missouri(2/27/2023)
RR
Montana(2/24/2023)
RR
Nebraska(2/24/2023)
RR
Nevada(3/1/2023)
RR
New Hampshire(3/8/2023)
RR
New Jersey(2/27/2023)
RR
New Mexico(2/27/2023)
RR
New York(2/25/2023)
RR
North Carolina(2/24/2023)
RR
North Dakota(2/27/2023)
RR
Ohio(2/24/2023)
RR
Oklahoma(2/27/2023)
RR
Oregon(2/27/2023)
RR
Pennsylvania(2/27/2023)
RR
Puerto Rico(3/6/2023)
RR
Rhode Island(2/28/2023)
RR
South Carolina(3/6/2023)
RR
South Dakota(2/28/2023)
RR
Tennessee(2/28/2023)
RR
Texas(2/27/2023)
RR
Utah(2/24/2023)
RR
Vermont(2/27/2023)
RR
Virginia(2/28/2023)
RR
Washington(2/27/2023)
RR
West Virginia(2/27/2023)
RR
Wisconsin(2/24/2023)
RR
Wyoming(2/27/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/5/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MF
MGI FUNDS DISTRIBUTORS, LLC
MGI FUNDS DISTRIBUTORS, INC. | OFFIT FUNDS DISTRIBUTOR, INC. | MGI FUNDS DISTRIBUTORS, LLC
CRD#: 35682 / SEC#: , 8-46960
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(866) 251-6920
Established
Delaware since 01/30/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS LLC | DIRECTOR OWNER/SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | CHIEF COMPLIANCE OFFICER / VP / TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
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.
