Christopher Chase
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 Chase was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1985. Christopher had worked at 7 firms and has passed the Series 63, Series 7 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 31, 2022 - February 23, 2024
INDEPENDENT BROKERAGE SOLUTIONS LLC
October 3, 2013 - April 22, 2015
TRUIST SECURITIES, INC.
December 15, 2008 - September 10, 2013
MORGAN JOSEPH TRIARTISAN LLC
April 20, 2004 - December 15, 2008
CRT CAPITAL GROUP LLC
May 5, 2000 - April 14, 2004
BANC OF AMERICA SECURITIES LLC
March 26, 1997 - May 11, 2000
SCHRODER & CO. INC.
September 24, 1985 - March 24, 1997
SALOMON BROTHERS INC.
State Registrations and Notice Filings
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Exams
Current Firm
INDEPENDENT BROKERAGE SOLUTIONS LLC
CRD#: 153563 / SEC#: , 8-68549
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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