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Chris McConnell

Chris McConnell & Associates

Chris McConnell
12121 Wilshire Blvd Suite 501 Los Angeles, California 90025

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Phone 3109436509
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Education, Certifications & Awards

BA Economics / Accounting option, Rutgers University
MBA, Pepperdine University
CPA exam - successfully passed, NY State Accountancy board
NASD licenses previouly held - Series 3, 4, 7, 8, 9, 63, 65
California insurance licenses previously held - Life, variable annuity, long term care



Expert witness, reports, testimony breach of investment fiduciary duty in FINRA securities arbitration, divorce, family trusts, non-profits, foundations and endowments and ERISA, Taft Hartley and Public Employees pension benefits matters.
Expert in compensation, employment, training, compliance, supervision, valuation - securities | financial services industry.


Areas of Expertise

Stock broker, Securities FINRA, Hedge fund, Investment Adviser, Trustee duty

Expert Witness Categories

Compensation, Corporate Boards, Taxes, Investments, Regulatory Compliance, Human Resources

Summary of Experience

25 years industry and expert experience.
Accredited Investment Fiduciary Auditor, Center for Fiduciary Studies 2003.
Chris McConnell & Associates, founded 2003, conflict-free, independent.
Fiduciary duties, performance, liability and damages analysis.
Any asset, investment, insurance or annuity, intellectual or real property often requires a fiduciary duty / standard of care (what and how things need to be accomplished); not just an agent standard. Fiduciary duty status is determined either by control and or intruments and or statutory authority.
Cases in: Trust, Estate, Probate; Non-profits, Foundations, Endowments; Divorce; Securities Futures; State and Federal Regulatory agency; ERISA, Taft Hartley and Public Employees pension and retirement plans. Also IRA and IRA Rollovers and custodial, guardianship, Coogan and conservatorship accounts.



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