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Christopher J. Listo

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CRD#: 2034832
CL

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 John Listo, who also goes by Chris Listo, was a registered financial professional .

Christopher is a previously registered financial professional and started their career in finance in 1993. Christopher had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 3 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chris Listo

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

March 28, 2018 - October 30, 2018

CG CAPITAL MARKETS, LLC

BD
CRD#: 35513
BOCA RATON, FL
Past

December 16, 2014 - May 4, 2017

MISCHLER FINANCIAL GROUP, INC.

BD
CRD#: 37818
Red Bank, NJ
Past

December 24, 2013 - January 7, 2015

CAPITAL GUARDIAN, LLC

BD
CRD#: 137919
Red Bank, NJ
Past

May 30, 2013 - November 15, 2013

COHEN & COMPANY SECURITIES, LLC

BD
CRD#: 149758
NEW YORK, NY
Past

April 5, 2010 - April 23, 2013

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY
Past

June 20, 2006 - September 16, 2009

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
NEW YORK, NY
Past

February 28, 2005 - June 13, 2006

COMMERZ MARKETS LLC

BD
CRD#: 41957
NEW YORK, NY
Past

April 20, 1999 - January 25, 2005

CREDIT AGRICOLE SECURITIES (USA) INC.

BD
CRD#: 190
NEW YORK, NY
Past

July 22, 1994 - August 12, 1994

SCHONFELD SECURITIES, LLC

BD
CRD#: 23304
JERICHO, NY
Past

January 28, 1993 - October 19, 1993

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
NEW YORK, NY

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: 10/14/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/25/1993
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 8/29/1991
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/24/2007
General Securities Principal Examination

Current Firm

CC
CG CAPITAL MARKETS, LLC
CG CAPITAL MARKETS, LLC | VALLEY FORGE DISTRIBUTORS, INC. | VALLEY FORGE BROKERAGE, INC. | TAG SECURITIES, INC. | RUPAY-BARRINGTON SECURITIES CORPORATION

CRD#: 35513 / SEC#: , 8-46710

BD
Terminated by SEC on 02/01/2019
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 03/19/2015
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CG CAPITAL MARKETS HOLDINGS, LLCOWNER/MEMBER
HOUSE, DAVID WAYNECHIEF OPERATING OFFICER/PRESIDENT3005187
PASTINE, ARMAND RALPHCHIEF EXECUTIVE OFFICER/MANAGING MEMBER2257531
RENEO, PETERCHIEF COMPLIANCE OFFICER4502298
SINGER, STEVEN FREDERICCHIEF FINANCIAL OFFICER2360737

Disclosures

Regulatory Event1

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.

Company Information

CG CAPITAL MARKETS, LLC

CRD#: 35513

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