Christopher Shay
Professional Summary
Christopher Shay is a registered financial advisor currently at CARTY, HARDING & HEARN, INC. located in Denver, Colorado. 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 7TO and SIE exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
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Disclosures on record.
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Years of Experience
3 years in the financial services industry
Current & Past Employments
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Current Firm
CARTY & COMPANY, INC. | CHH | CARTY, HARDING, & HEARN, INC. | CARTY, HARDING & HEARN, INC. | CARTY, HARDING & HEARN
Contact Information
Main Address
6263 Poplar Avenue Suite 800, Memphis, TN 38119Mailing Address
P.o. Box 17527, Memphis, TN 38187-0527Phone Number
(901) 767-8940Established
Tennessee since 10/07/1970Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(12/12/2024)
(9/17/2024)
(9/17/2024)
(2/22/2024)
(9/17/2024)
(9/17/2024)
(9/17/2024)
(9/17/2024)
(9/17/2024)
(9/17/2024)
(9/17/2024)
(9/17/2024)
(9/17/2024)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Christopher Shay's CRS (Customer Relationship Summary).
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