Christopher I. Mates
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 I Mates, who also goes by Christopher I Mates, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1990. Christopher had worked at 8 firms and has passed the Series 63, Series 82TO, Series 99TO, Series 57TO, SIE, Series 79, Series 7, Series 15, Series 3, Series 10, Series 9, Series 14, Series 4, Series 27, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 5, 2023 - February 4, 2025
STOCKPILE INVESTMENTS, INC.
October 23, 2019 - December 1, 2023
DISRUPTIVE SECURITIES
December 11, 2018 - September 12, 2019
ASPIRATION FINANCIAL LLC
August 31, 2017 - September 7, 2018
OPUS FINANCIAL PARTNERS, LLC
July 28, 2011 - September 9, 2015
LIQUID CAPITAL MARKETS, LLC
May 7, 2009 - June 29, 2019
LIQUID CAPITAL SECURITIES, LLC
February 3, 2009 - November 19, 2010
LIQUID CAPITAL MARKETS, LLC
April 29, 2002 - July 6, 2007
NEWEDGE FINANCIAL INC.
February 26, 1990 - May 1, 2001
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 15
Date: 2/22/1990
Foreign Currency Options ExaminationSeries 8
Date: 10/28/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
STOCKPILE INVESTMENTS, INC.
CRD#: 156170 / SEC#: , 8-68772
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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