Christopher L. Tota

CANTOR FITZGERALD & CO.

Memphis, TN 38119

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CRD#: 1847033

Professional summary

Christopher Louis Tota, who also goes by Chris Tota, Christopher Louis Tota Mr, Christopher Louis Tota, is a registered financial professional currently at CANTOR FITZGERALD & CO. located in Memphis, Tennessee.

Christopher is registered as a RR (Registered Representative) and started their career in finance in 1991. Christopher has worked at 6 firms and has passed the Series 63, SIE, Series 52 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Chris Tota | Christopher Louis Tota Mr | Christopher Louis Tota

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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CRS (Client Relationship Summary) - BD

Click below to view Christopher Louis Tota'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

December 21, 2023 - Present

CANTOR FITZGERALD & CO.

Office #1: 6410 Poplar Avenue Suite 700, Memphis, TN 38119

CRD#: 134

Memphis, TN

Past

March 17, 2017 - April 3, 2023

MESIROW FINANCIAL, INC.

CRD#: 2764

Brentwood, TN

Past

April 4, 2014 - January 20, 2017

WILLIAM BLAIR

CRD#: 1252

LOS ANGELES, CA

Past

August 12, 2008 - April 9, 2014

E.J. DE LA ROSA & CO., INC.

CRD#: 25334

LOS ANGELES, CA

Past

November 18, 1999 - July 18, 2008

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

June 21, 1991 - November 10, 1999

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

State Registrations and Notice Filings

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

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

Tennessee
(12/21/2023)

Texas
(10/7/2024)

Exams

State Security Law Exam

Series 63

Date: 4/13/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 52

Date: 6/19/1991

Municipal Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 2/16/1993

Municipal Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CANTOR FITZGERALD & CO.

CANTOR DIRECT A DIVISION OF CANTOR FITZGERALD & CO. | CANTOR, FITZGERALD & CO., INC. | CANTOR FITZGERALD & CO.

CRD#: 134 / SEC#: , 8-201

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

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Contact information

Main Address

110 East 59th Street 4th Floor, New York, NY, 10022

Mailing Address

110 East 59th Street 4th Floor, New York, NY, 10022

Phone number

(212) 938-5000

Established

New York since 09/25/1992

Firm type

Partnership

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
CFS CF & CO I HOLDINGS, L.P.	MANAGING GENERAL PARTNER
ANZALONE, THOMAS JOSEPH	CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER	1161513
BANDELIER, PASCAL DANIEL	CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF EQUITIES	4424051
CFLP CF&CO I HOLDINGS, L.P.	LIMITED PARTNER
KELLY, SAGE NOLAN	CO-CHIEF EXECUTIVE OFFICER /GLOBAL HEAD OF INVESTMENT BANKING	2528122
MERKEL, STEPHEN MARCUS	EXECUTIVE MANAGING DIRECTOR, CHIEF LEGAL OFFICER, GENERAL COUNSEL & SECRETARY	2366318
SALINAS, DANNY	CHIEF FINANCIAL OFFICER	6184109
SHIELDS, WILLIAM MICHAEL	CHIEF COMPLIANCE OFFICER	2380166
WALL, CHRISTIAN DOUGLAS	CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF FIXED INCOME	2751397

Disclosures

Regulatory Event

Red Flags

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Christopher L. Tota

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Christopher Louis Tota's CRS (Customer Relationship Summary).

Certified licenses

Experience

MESIROW FINANCIAL, INC.

WILLIAM BLAIR

E.J. DE LA ROSA & CO., INC.

J.P. MORGAN SECURITIES LLC

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/13/1994

SIE

Date: 10/1/2018

Series 52

Date: 6/19/1991

Series 53

Date: 2/16/1993

FINRA

Current Firm

CANTOR FITZGERALD & CO.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CANTOR FITZGERALD & CO.

TRUST BUT VERIFY

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