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Christopher S. Dalton

SYNERGY ADVISORS
El Segundo, CA 90245
Some features on this profile are disabled
CRD#: 7651781
CD

Professional summary

Christopher Scott Dalton is a registered financial professional currently at SYNERGY ADVISORS, LLC located in El Segundo, California.

Christopher is registered as a RR (Registered Representative) and started their career in finance in 2024. Christopher has worked at 1 firm 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 Scott Dalton'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

March 5, 2024 - Present

SYNERGY ADVISORS, LLC

Office #1: 880 Apollo Street Suite 230, El Segundo, CA 90245
BD
CRD#: 128264
El Segundo, CA

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
California
(3/5/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 1/9/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 3/5/2024
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/19/2023
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

SA
SYNERGY ADVISORS, LLC
SYNERGY ADVISORS GROUP, LLC | SYNERGY ADVISORS, LLC

CRD#: 128264 / SEC#: , 8-66114

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

Main Address
880 Apollo Street Suite 230, El Segundo, CA 90245
Mailing Address
880 Apollo Street Suite 230, El Segundo, CA 90245
Phone number
(310) 414-3200
Established
Delaware since 07/31/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (12 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
MAGGIACOMO, ROBERT MORGANMANAGING MEMBER, CEO, REGISTERED PRINCIPAL, FINOP/CFO, CHIEF COMPLIANCE OFFICER, CHIEF LEGAL OFFICER2119666
EMSLIE, JAMES ALBERTMEMBER, PARTNER, REGISTERED PRINCIPAL, AML OFFICER3051453

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

SYNERGY ADVISORS, LLC

CRD#: 128264El Segundo, CA 90245

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