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Christopher Thomas Lloyd

Scotia Capital (usa) Inc.

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About Christopher Thomas Lloyd

Christopher Lloyd is a financial professional with over 10 years of experience in the industry. Christopher is currently registered with Scotia Capital (usa) Inc. and holds the Series 7, 79, 87, and SIE licenses, as well as the Series 63 state exam. Christopher has previously held positions at Deutsche Bank Securities Inc., BNP Paribas Securities Corp., Lazard Middle Market LLC, and Keefe, Bruyette & Woods, Inc.

Firm Information

Christopher Lloyd is currently registered with Scotia Capital (usa) Inc.. Scotia Capital (usa) Inc. is a corporation formed in 1939 and headquartered in the United States. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia and Puerto Rico.

Not reported

Assets Under Management

Not reported

Total Clients

108

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Christopher Lloyd’s Registration & Firm History

NY

05/13/2020 - Present

Scotia Capital (usa) Inc. (NEW YORK NY)

NY

09/14/2015 - 09/23/2019

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

NY

02/27/2014 - 12/09/2014

BNP PARIBAS SECURITIES CORP. (NEW YORK NY)

NY

03/21/2012 - 01/09/2014

LAZARD MIDDLE MARKET LLC (NEW YORK NY)

NY

12/11/2009 - 01/13/2011

KEEFE, BRUYETTE & WOODS, INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 03/01/2010

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/24/2015

Series 79 - Investment Banking Registered Representative Examination

BC

Issued 09/29/2010

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 12/10/2009

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Christopher Thomas Lloyd.
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