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CP

Christopher S. Pinto

SHEARMAN, RALSTON
Greenwich, CT 06830
Some features on this profile are disabled
CRD#: 7999349
CP

Professional summary

Christopher Stephen Pinto is a registered financial professional currently at SHEARMAN, RALSTON INC. located in Greenwich, Connecticut.

Christopher is registered as a RR (Registered Representative) and started their career in finance in 2025. Christopher has worked at 1 firm and has passed the 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 Stephen Pinto'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

November 10, 2025 - Present

SHEARMAN, RALSTON INC.

Office #1: 333 Greenwich Avenue, Greenwich, CT 06830
RIA
BD
CRD#: 7320
Greenwich, CT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 7TO
Date: 11/10/2025
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/24/2024
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

SR
SHEARMAN, RALSTON INC.
SHEARMAN, RALSTON INC.

CRD#: 7320 / SEC#: , 8-21190

Connecticut
Registered Investment Advisory firm - SEC (6/22/2018 Approved)
Georgia
Registered Investment Advisory firm - SEC (7/7/2023 Approved)
Louisiana
Registered Investment Advisory firm - SEC (6/23/2025 Approved)
New York
Registered Investment Advisory firm - SEC (4/3/2025 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
333 Greenwich Avenue, Greenwich, CT 06830
Mailing Address
333 Greenwich Avenue, Greenwich, CT 06830
Phone number
(203) 489-3902
Established
New York since 10/15/1976
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees
4

FINRA licenses (6 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
RALSTON, DOUGLAS PAULPRESIDENT, CEO, FINOP OF BD370414
JAFFESS, BARBARA LYNNNON-CONTROL OWNER861641
RALSTON, NATHANIEL LOUISVICE PRESIDENT, COO CFO CCO OF BD, CCO OF RIA6076209
SULLIVAN, DANIEL AVICE PRESIDENT OF BD707476

Regulatory assets under management

Total Number of Accounts42
AUM (Assets Under Management)$ 97,678,492

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

SHEARMAN, RALSTON INC.

CRD#: 7320Greenwich, CT 06830

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