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CS

Christopher Shay

CARTY, HARDING & HEARN
Denver, CO 80206
Some features on this profile are disabled
CRD#: 7853015
CS

Professional summary

Christopher Shay is a registered financial professional 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.

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 Shay's CRS (Customer Relationship Summary).
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

February 22, 2024 - Present

CARTY, HARDING & HEARN, INC.

Office #1: 288 Clayton St Suite 204, Denver, CO 80206
BD
CRD#: 7001
Denver, CO

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
Arizona
(12/12/2024)
RR
Arkansas
(9/17/2024)
RR
California
(9/17/2024)
RR
Colorado
(2/22/2024)
RR
Illinois
(9/17/2024)
RR
Massachusetts
(9/17/2024)
RR
Montana
(9/17/2024)
RR
New Jersey
(9/17/2024)
RR
New York
(9/17/2024)
RR
Tennessee
(9/17/2024)
RR
Washington
(9/17/2024)
RR
West Virginia
(9/17/2024)
RR
Wyoming
(9/17/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 3/13/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/22/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/4/2023
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

CH
CARTY, HARDING & HEARN, INC.
CARTY & COMPANY, INC. | CHH | CARTY, HARDING, & HEARN, INC. | CARTY, HARDING & HEARN, INC. | CARTY, HARDING & HEARN

CRD#: 7001 / SEC#: , 8-19082

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

Main Address
6263 Poplar Avenue Suite 800, Memphis, TN 38119
Mailing Address
P.o. Box 17527, Memphis, TN 38187-0527
Phone number
(901) 767-8940
Established
Tennessee since 10/07/1970
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CARTY FINANCIAL CORPORATIONOWNER
CARTY, BILLY RANDOLPHCEO42297
CARTY, WILLIAM LAWRENCEPRESIDENT2356971
HEARN, JOHN ARTHURMANAGING DIRECTOR2078994
RUETTEN, ANGELA LYNNCFO
SCOLA, JENNIFER CARTYCOO, CCO1720872
TUCKER, CLARK BOMARFINOP1977842

Disclosures

Regulatory Event19

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

CARTY, HARDING & HEARN, INC.

CRD#: 7001Denver, CO 80206

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