Christopher J. Looney
Professional summary
Christopher John Looney 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 professional and started their career in finance in 1988. Prior to being barred, Christopher had worked at 15 firms, which includes J.D. NICHOLAS & ASSOCIATES INC., EKN FINANCIAL SERVICES INC., ITRADEDIRECT.COM CORP, J.P. TURNER & COMPANY L.L.C., GRANITE ASSOCIATES INC, LADENBURG THALMANN & CO. INC., LADENBURG CAPITAL MANAGEMENT INC., WELLS FARGO ADVISORS FINANCIAL NETWORK LLC, CONTINENTAL BROKER-DEALER CORP., CHATFIELD DEAN & CO. INC., THE STUART-JAMES COMPANY INCORPORATED, FIRST MONTAUK SECURITIES CORP., BARRETT DAY SECURITIES INC., L.F. THOMPSON & COMPANY, INVESTORS CENTER INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 19, 2010 - April 11, 2011
J.D. NICHOLAS & ASSOCIATES, INC.
April 27, 2010 - November 30, 2010
EKN FINANCIAL SERVICES INC.
May 23, 2008 - May 4, 2010
ITRADEDIRECT.COM CORP
February 24, 2006 - May 20, 2008
J.P. TURNER & COMPANY, L.L.C.
November 29, 2004 - March 2, 2006
GRANITE ASSOCIATES, INC
November 20, 2002 - December 7, 2004
LADENBURG THALMANN & CO. INC.
August 2, 1994 - November 20, 2002
LADENBURG CAPITAL MANAGEMENT INC.
July 13, 1992 - July 19, 1994
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
February 8, 1991 - May 2, 1991
CONTINENTAL BROKER-DEALER CORP.
November 24, 1990 - July 13, 1992
CHATFIELD DEAN & CO., INC.
August 30, 1990 - November 30, 1990
THE STUART-JAMES COMPANY, INCORPORATED
March 23, 1990 - September 5, 1990
FIRST MONTAUK SECURITIES CORP.
June 12, 1989 - April 27, 1990
BARRETT DAY SECURITIES, INC.
May 2, 1989 - May 25, 1989
L.F. THOMPSON & COMPANY
March 6, 1989 - April 27, 1990
BARRETT DAY SECURITIES, INC.
July 19, 1988 - March 10, 1989
INVESTORS CENTER, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
J.D. NICHOLAS & ASSOCIATES, INC.
CRD#: 44791 / SEC#: , 8-50822
Contact information
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
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