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CP

Christopher D. Panza

Some features on this profile are disabled
CRD#: 1894345
CP

Professional summary

Christopher Daren Panza was barred by the SEC 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 8 firms, which includes JOSEPH STEVENS & CO. INC., A.S. GOLDMEN & CO. INC., GKN SECURITIES CORP., COMMONWEALTH ASSOCIATES, D. H. BLAIR & CO. INC., J. W. GANT & ASSOCIATES INC., REICH & CO. INC., MID-STATE SECURITIES CORP..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chris Daren Panza

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 7, 1997 - December 4, 1998

JOSEPH STEVENS & CO., INC.

BD
CRD#: 35459
Past

May 20, 1997 - December 4, 1998

JOSEPH STEVENS & CO., INC.

BD
CRD#: 35459
BROOKLYN, NY
Past

October 16, 1992 - April 30, 1997

A.S. GOLDMEN & CO., INC.

BD
CRD#: 23180
RED BANK, NJ
Past

July 19, 1991 - October 20, 1992

GKN SECURITIES CORP.

BD
CRD#: 19415
NEW YORK, NY
Past

January 15, 1991 - July 31, 1991

COMMONWEALTH ASSOCIATES

BD
CRD#: 20833
NEW YORK, NY
Past

October 12, 1989 - January 14, 1991

D. H. BLAIR & CO., INC.

BD
CRD#: 6833
NEW YORK, NY
Past

August 10, 1989 - August 29, 1989

J. W. GANT & ASSOCIATES, INC.

BD
CRD#: 7963
Past

February 6, 1989 - August 16, 1989

REICH & CO., INC.

BD
CRD#: 19611
Past

December 20, 1988 - January 25, 1989

MID-STATE SECURITIES CORP.

BD
CRD#: 10266
RED BANK, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/14/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/17/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/14/1996
General Securities Principal Examination

Current Firm

JS
JOSEPH STEVENS & CO., INC.
FABIO MIGLIACCIO | JOSEPH STEVENS & COMPANY, L.P. | JOSEPH STEVENS & COMPANY, INC. | JOSEPH STEVENS & CO., INC.

CRD#: 35459 / SEC#: , 8-46901

BD
Terminated by SEC on 08/22/2008
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 10/12/1993
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MARKOWITZ, STEVEN ALANPRESIDENT/CHAIRMAN1299315
SORBARA, JOSEPHCHIEF EXECUTIVE OFFICER1001403
CHUDNOFF, LINDA EPPOLITOCHIEF COMPLIANCE OFFICER AND SENIOR REGISTERED OPTIONS PRINCIPAL1332998
TINGOLI, MARIACHIEF FINANCIAL OFFICER1598620

Disclosures

Regulatory Event7
Arbitration10

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

JOSEPH STEVENS & CO., INC.

CRD#: 35459

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