Chris V. Suarez
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Chris Victor Suarez was a registered financial professional .
Chris is a previously registered financial professional and started their career in finance in 1984. Chris had worked at 9 firms and has passed the Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 2001 - January 22, 2007
BROOKSTREET SECURITIES CORPORATION
February 12, 2001 - June 5, 2001
WELLS FARGO CLEARING SERVICES, LLC
February 1, 2000 - January 31, 2001
FIRST EQUITY CORPORATION OF FLORIDA
February 27, 1999 - December 7, 1999
DP ASSET MANAGEMENT, INC.
May 22, 1995 - January 28, 1999
R.K. GRACE & COMPANY
March 21, 1991 - April 28, 1995
WORLD INVEST CORPORATION
February 2, 1988 - March 27, 1991
PRUDENTIAL EQUITY GROUP, LLC
September 25, 1984 - October 22, 1984
DONALD SHELDON & CO., INC.
September 25, 1984 - March 8, 1988
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BROOKSTREET SECURITIES CORPORATION
CRD#: 14667 / SEC#: , 8-31032
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKS FAMILY TRUST, STANLEY BROOKS TRUSTEE | SHAREHOLDER / OWNER | |
| BROOKS, STANLEY CLIFTON | PRESIDENT AND TRUSTEE OF BROOKSTREET FAMILY TRUST | 31684 |
Disclosures
| Regulatory Event | 25 |
| Civil Event | 1 |
| Arbitration | 22 |
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.
