Christopher J. Gorman
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 Gorman was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1988. Christopher had worked at 11 firms and has passed the Series 63 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 2013 - December 16, 2013
AXOS CLEARING LLC
May 13, 2013 - June 26, 2013
COWEN PRIME SERVICES LLC
September 14, 2012 - May 9, 2013
WHITAKER SECURITIES LLC
July 9, 2010 - October 1, 2010
WESTOR CAPITAL GROUP, INC.
December 11, 2007 - February 4, 2009
B. RILEY WEALTH MANAGEMENT
January 13, 2006 - November 14, 2006
BGC FINANCIAL, L.P.
August 17, 1995 - September 11, 1995
BARCLAYS CAPITAL INC.
August 9, 1995 - September 12, 2005
TULLETT LIBERTY BROKERAGE INC.
September 3, 1993 - August 16, 1995
TULLETT & TOKYO SECURITIES, INC.
March 4, 1992 - August 10, 1993
CANTOR FITZGERALD SECURITIES
May 16, 1988 - February 7, 1992
INTERCAPITAL GOVERNMENT SECURITIES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
AXOS CLEARING LLC
CRD#: 117176 / SEC#: , 8-53595
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AXOS SECURITIES, LLC | SOLE OWNER | |
| CROW, DAVID MICHAEL | PRESIDENT, AXOS CLEARING, LLC | 4370102 |
| FAUCHER, KATHY NOEL | AML OFFICER | 6323326 |
| GREEN, HOWARD MICHAEL | CHIEF FINANCIAL OFFICER | 2535812 |
| KINSELLA, SHAWN ROBERT | CHIEF COMPLIANCE OFFICER | 5793966 |
| PLUMMER, JEFFREY KENT | PRINCIPAL OPERATIONS OFFICER | 4576783 |
| SHIRMANG, STEPHEN LOWELL | CHIEF OPERATIONS OFFICER | 3083416 |
Disclosures
| Regulatory Event | 13 |
Red Flags
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