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Christopher P. Roach

Some features on this profile are disabled
CRD#: 1545592
CR

Professional summary

Christopher Paul Roach was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Christopher is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Christopher had worked at 6 firms, which includes TRADEPORTAL SECURITIES INC., ICAP/INVESTMENT SERVICES AND TRADING LLC, EAST WEST INSTITUTIONAL SERVICES INC., UBS FINANCIAL SERVICES INC., PRUDENTIAL EQUITY GROUP LLC, DREXEL BURNHAM LAMBERT INCORPORATED.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Christopher P Roach

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 19, 1999 - November 20, 2000

TRADEPORTAL SECURITIES, INC.

BD
CRD#: 25001
ALISO VIEJO, CA
Past

June 5, 1999 - June 17, 1999

ICAP/INVESTMENT SERVICES AND TRADING, LLC

BD
CRD#: 31271
HAVERSTRAW, NY
Past

August 25, 1994 - May 20, 1999

EAST WEST INSTITUTIONAL SERVICES, INC.

BD
CRD#: 10870
SARASOTA, FL
Past

November 24, 1989 - April 1, 1991

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

August 15, 1988 - December 14, 1989

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

February 26, 1987 - December 2, 1988

DREXEL BURNHAM LAMBERT INCORPORATED

BD
CRD#: 7323

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/5/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/28/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/1/1997
General Securities Principal Examination

Current Firm

TS
TRADEPORTAL SECURITIES, INC.
CHADWICK SECURITIES, INC. | TRADEPORTAL SECURITIES, INC. | ROCKLAND TRADING CORPORATION | KENSINGTON SECURITIES, INC.

CRD#: 25001 / SEC#: , 8-41519

BD
Terminated by SEC on 05/30/2009
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Contact information

Main Address
Mailing Address
Phone number
Established
Texas since 07/12/1989
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
TRADEPORTAL.COM, INC.OWNER
HANDS, THOMAS WILLIAMCHIEF SUPERVISORY OFFICER/SECRETARY/CHIEF COMPLIANCE OFFICER1332915
VILLA, JULIE ANNPRESIDENT - BRANCH MANAGER - BOARD MEMBER- TREASURER4142221

Disclosures

Regulatory Event2

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.

Company Information

TRADEPORTAL SECURITIES, INC.

CRD#: 25001

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