Christopher is a seasoned broker-dealer regulatory specialist with over 30 years of experience working with other senior industry experts, peers, auditors as well as regulators. He is a result-oriented professional, who leads by example with a focus on teamwork, communication, proactiveness, details, business knowledge and ethics. His specialty pertains to Net Capital (SEA rule 15c3-1) and Customer Protection (SEA rule 15c3-3). Prior to joining CRC, Christopher was a Managing Director and FINOP for Guggenheim Securities, LLC., the Investment Banking and Capital Markets business of Guggenheim Partners, for 14 years. He implemented several processes and procedures, including numerous control features when the firm established a self-clear business. He also provided detailed regulatory capital analysis and liquidity needs of proposed trades and transactions while working with senior desk heads and management within Investment Banking, Repo, Trading, Fixed Income Syndicate, Equity Capital Markets, Compliance, Operations, Finance and Risk.
Earlier in his career, Christopher was a Vice President at Goldman Sachs & Co. for approximately 15 years, managing teams responsible for the firms Net Capital and Customer Reserve Formula calculations within Goldman’s Global Control Department. He also helped establish a liquidity reporting system which encompassed all Goldman Sachs affiliates. Prior to Goldman Sachs, Christopher started his professional career at Solomon Brothers, Inc, where he was an Accountant within the Financial Futures Control Department.
Christopher holds a Master of Science Degree in Accounting, Bachelor of Arts Degree in Accounting, and a series 27 and 99 security licenses.
