Christopher E. Dean
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 Evan Dean, who also goes by Dean Evan Christopher Evan, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1986. Christopher had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7, Series 15, Series 5 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 12, 2021 - May 3, 2022
ADOY LLC
August 30, 2005 - August 23, 2019
JEFFERIES LLC
January 17, 2003 - March 10, 2004
BANC OF AMERICA SECURITIES LLC
April 20, 1999 - February 28, 2003
VECTOR PARTNERS L.P.
July 8, 1991 - January 31, 1992
JEFFERIES LLC
February 19, 1986 - June 9, 1987
UBS FINANCIAL SERVICES 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: 1/4/2001
Limited Representative-Equity Trader ExamSeries 15
Date: 10/6/1986
Foreign Currency Options ExaminationSeries 5
Date: 10/3/1986
Interest Rate Options ExaminationCurrent Firm
ADOY LLC
CRD#: 312240 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 20,000,000 |
Red Flags
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