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CH

Christopher Harte

AEC TRANSACTION SERVICES LLC
New York, NY 10036
Some features on this profile are disabled
CRD#: 7522783
CH

Professional summary

Christopher Harte is a registered financial professional currently at AEC TRANSACTION SERVICES LLC located in New York, New York.

Christopher is registered as a RR (Registered Representative) and started their career in finance in 2022. Christopher has worked at 2 firms and has passed the Series 63, Series 79TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Harte'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

May 29, 2025 - Present

AEC TRANSACTION SERVICES LLC

Office #1: 28 West 44th St Suite 815, New York, NY 10036
BD
CRD#: 327839
New York, NY
Past

May 24, 2022 - May 30, 2025

HOULIHAN LOKEY CAPITAL, INC.

BD
CRD#: 17708
NEW YORK, NY

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
New York
(5/29/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 6/28/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 5/24/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/28/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

AT
AEC TRANSACTION SERVICES LLC
AEC TRANSACTION SERVICES LLC

CRD#: 327839 / SEC#: , 8-71142

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

Main Address
28 West 44th St Suite 815, New York, NY 10036
Mailing Address
28 West 44th St Suite 815, New York, NY 10036
Phone number
(917) 828-5498
Established
Delaware since 06/09/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
AEC MARLEY LLCMEMBER
AEC LUNA LLCMEMBER
ALBRIGHT, TYLER JAMESPRINICPAL7806856
AVELINI, ANDREJPRESIDENT2498642
LAHRE, JOSHUA MCNEILPRINICPAL5171195
RAGUSA, ROSALBACHIEF COMPLIANCE OFFICER2830587
RAGUSA, ROSALBACHIEF FINANCIAL OFFICER/FINOP2830587
SMETONA, JOSEPH MICHAELPRINCIPAL5875853

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

AEC TRANSACTION SERVICES LLC

CRD#: 327839New York, NY 10036

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