Christopher Malo
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 Malo was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1988. Christopher had worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 5, 2011 - August 7, 2012
SUN TRADING EXECUTION SERVICES, LLC
July 16, 2008 - September 1, 2015
HRT EXECUTION SERVICES LLC
January 22, 2002 - February 7, 2005
CIS SECURITIES, INC.
September 6, 1988 - February 23, 2002
CARGILL INVESTOR SERVICES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
SUN TRADING EXECUTION SERVICES, LLC
CRD#: 153574 / SEC#: , 8-68554
Contact information
Documents
Direct owners and executive officers
Red Flags
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