Christopher R. Lando
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 R Lando was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1986. Christopher had worked at 7 firms and has passed the Series 63 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
July 8, 2005 - September 10, 2014
BARCLAY INVESTMENTS LLC
July 24, 2003 - August 25, 2004
UBS SECURITIES LLC
October 11, 1996 - May 15, 2003
BARCLAYS CAPITAL INC.
September 12, 1996 - October 4, 1996
BARCLAYS CAPITAL INC.
June 6, 1991 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
June 6, 1991 - October 23, 1995
LEHMAN GOVERNMENT SECURITIES INC.
May 14, 1988 - September 17, 1996
LEHMAN BROTHERS INC.
February 19, 1986 - May 14, 1988
E. F. HUTTON & COMPANY 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
BARCLAY INVESTMENTS LLC
CRD#: 6159 / SEC#: , 8-16935
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
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.
