Christopher S. Fahey
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.
Christopher Scott Fahey, who also goes by Christopher Fahey, Scott Fahey, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1984. Christopher had worked at 5 firms and has passed the Series 63, Series 55, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 23, 2013 - September 30, 2013
MARINER GROUP CAPITAL MARKETS, LLC
July 8, 2009 - May 26, 2011
RLSP ASSOCIATES, LLC
January 13, 2000 - January 7, 2008
CIBC WORLD MARKETS CORP.
July 15, 1993 - June 30, 1999
J.P. MORGAN SECURITIES INC.
November 21, 1984 - June 24, 1993
LEHMAN BROTHERS 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
Series 55
Date: 5/9/2000
Limited Representative-Equity Trader ExamCurrent Firm
MARINER GROUP CAPITAL MARKETS, LLC
CRD#: 25878 / SEC#: , 8-42116
Contact information
FINRA licenses (4 States and Territories)
Documents
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.
