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Christopher E. Clements

Some features on this profile are disabled
CRD#: 1695798
CC

Professional summary

Christopher Edward Clements was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Christopher is a previously registered financial advisor and started their career in finance in 1987. Prior to being barred, Christopher had worked at 10 firms, which includes TSC DISTRIBUTORS LLC, CALAMOS WEALTH MANAGEMENT LLC, CALAMOS FINANCIAL SERVICES LLC, NATIONWIDE FUND DISTRIBUTORS LLC, WHITE MOUNTAIN CAPITAL LLC, PRUDENTIAL EQUITY GROUP LLC, APEX CLEARING CORPORATION, CITIGROUP GLOBAL MARKETS INC., LEHMAN BROTHERS INC., L. F. ROTHSCHILD & CO. INCORPORATED.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chris Clements | Christopher E Clements

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

September 14, 2011 - November 4, 2013

TSC DISTRIBUTORS, LLC

BD
CRD#: 37058
BOSTON, MA
Past

June 16, 2009 - June 10, 2011

CALAMOS WEALTH MANAGEMENT LLC

RIA
CRD#: 143490
NAPERVILLE, IL
Past

October 4, 2004 - June 10, 2011

CALAMOS FINANCIAL SERVICES LLC

BD
CRD#: 19850
NAPERVILLE, IL
Past

July 1, 2003 - October 7, 2004

NATIONWIDE FUND DISTRIBUTORS LLC

BD
CRD#: 25910
COLUMBUS, OH
Past

September 13, 2002 - June 23, 2003

WHITE MOUNTAIN CAPITAL, LLC

BD
CRD#: 104123
BAY HARBOR ISLANDS, FL
Past

December 13, 1995 - September 18, 2000

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

September 7, 1995 - September 14, 1995

APEX CLEARING CORPORATION

BD
CRD#: 13071
DALLAS, TX
Past

July 31, 1993 - March 23, 1995

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

November 23, 1988 - July 31, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

June 30, 1987 - August 3, 1987

L. F. ROTHSCHILD & CO. INCORPORATED

BD
CRD#: 501

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
IAR
Series 65
Date: 6/15/2009
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/18/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 11/25/1996
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 11/19/1988
General Securities Representative Examination

Current Firm

TD
TSC DISTRIBUTORS, LLC
ABAX BROKERAGE SERVICES LLC | TSC DISTRIBUTORS, LLC | ABAX BROKERAGE SERVICES, INC.

CRD#: 37058 / SEC#: , 8-47579

BD
Terminated by SEC on 10/02/2017
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 02/04/2011
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
TS CAPITAL, LLCOWNER
ARACRI, JENNIFER KERBYCHIEF COMPLIANCE OFFICER1317929
CAMPBELL, ROBERTFINOP1349154
VAINISI, JEROME ARTHURCHIEF EXECUTIVE OFFICER2011056

Disclosures

Judgment/Lien1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

TSC DISTRIBUTORS, LLC

CRD#: 37058

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