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CD

Christopher N. Dodson

Some features on this profile are disabled
CRD#: 1556042
CD

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 Neal Dodson, who also goes by Chris Dodson, was a registered financial professional .

Christopher is a previously registered financial professional and started their career in finance in 1988. Christopher had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 3, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chris Dodson

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

November 1, 2017 - November 11, 2020

DECKER & CO, LLC

BD
CRD#: 166446
MENLO PARK, CA
Past

January 1, 2011 - November 11, 2016

AUERBACH GRAYSON & COMPANY LLC

BD
CRD#: 30761
NEW YORK, NY
Past

January 11, 2007 - February 2, 2009

MIZUHO SECURITIES USA LLC

BD
CRD#: 19647
NEW YORK, NY
Past

August 1, 2005 - December 1, 2006

CAPITAL PARTNERS SECURITIES LLC

BD
CRD#: 133820
NEW YORK, NY
Past

August 18, 2000 - October 31, 2001

ABN AMRO INCORPORATED

BD
CRD#: 15776
STAMFORD, CT
Past

April 8, 1998 - April 7, 2000

COMMERZ MARKETS LLC

BD
CRD#: 41957
NEW YORK, NY
Past

June 2, 1993 - April 30, 1997

DAIWA CAPITAL MARKETS AMERICA INC.

BD
CRD#: 1576
NEW YORK, NY
Past

February 2, 1990 - May 4, 1993

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

September 28, 1988 - December 19, 1989

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

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: 11/26/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/30/2005
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 3/2/1991
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/7/2005
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 11/21/1992
General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

D&
DECKER & CO, LLC
DECKER & CO, LLC

CRD#: 166446 / SEC#: , 8-69211

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
700 El Camino Real Suite 120, Menlo Park, CA 94025
Mailing Address
700 El Camino Real Suite 120, Menlo Park, CA 94025
Phone number
(415) 830-9890
Established
Delaware since 10/31/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
DECKER, MARK BRANDONCCO/CEO/MANAGING MEMBER5692814
KORNSRI, HARINSHAREHOLDER6157452
PHANSUWON, KUNJANAPHANSHAREHOLDER6157450
ONESTO, RICHARD ERNESTFINOP2453096

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

DECKER & CO, LLC

CRD#: 166446

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