Christopher Baggio
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 Baggio was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1993. Christopher had worked at 6 firms and has passed the Series 63, SIE, Series 55, 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
April 1, 2008 - June 16, 2017
WEEDEN & CO.L.P.
November 28, 2003 - May 2, 2006
HUDSON SECURITIES,INC.
February 27, 2003 - November 25, 2003
FIRST NEW YORK SECURITIES L.L.C.
November 28, 1997 - September 1, 1998
SALOMON BROTHERS INC.
October 16, 1993 - February 27, 2003
CITIGROUP GLOBAL MARKETS INC.
June 9, 1993 - October 14, 1993
LEHMAN BROTHERS 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
Exams
Series 55
Date: 2/8/1999
Limited Representative-Equity Trader ExamCurrent Firm
WEEDEN & CO.L.P.
CRD#: 16835 / SEC#: 801-57163, 8-37267
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PIPER JAFFRAY COMPANIES | 100% OWNER | |
| MCCAGUE, ANNCHARLOTTE | CHIEF COMPLIANCE OFFICER | 1108448 |
Disclosures
| Regulatory Event | 13 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
