Christopher J. Tolkin
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 Joseph Tolkin, who also goes by Chris Joseph Tolkin, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1990. Christopher had worked at 10 firms and has passed the Series 63, Series 57TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 13, 2018 - September 1, 2022
SANTANDER INVESTMENT SECURITIES INC.
November 17, 2009 - July 27, 2018
NOMURA SECURITIES INTERNATIONAL, INC.
September 9, 2009 - November 16, 2009
SEAPORT GLOBAL SECURITIES LLC
July 30, 2007 - September 3, 2009
BNP PARIBAS SECURITIES CORP.
April 29, 2002 - July 26, 2007
FHN FINANCIAL SECURITIES CORP.
April 24, 2000 - May 9, 2002
J.P. MORGAN SECURITIES LLC
December 6, 1996 - April 10, 2000
HSBC SECURITIES (USA) INC.
April 7, 1992 - November 11, 1996
LEGG MASON WOOD WALKER, INCORPORATED
June 11, 1991 - November 27, 1991
CHAPDELAINE CORPORATE SECURITIES & CO
April 24, 1990 - June 7, 1991
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamCurrent Firm
SANTANDER INVESTMENT SECURITIES INC.
CRD#: 37216 / SEC#: 801-70715, 8-47664
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LANE, JASON DEARMOND | CHIEF COMPLIANCE OFFICER | 2671708 |
Disclosures
| Regulatory Event | 10 |
Red Flags
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