Christopher G. Sztam
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 Gordon Sztam was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1991. Christopher had worked at 7 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
May 13, 2019 - December 26, 2019
U.S. STERLING SECURITIES, INC.
October 13, 2014 - June 6, 2017
GUGGENHEIM SECURITIES, LLC
September 22, 2008 - February 27, 2014
BARCLAYS CAPITAL INC.
March 4, 2008 - September 22, 2008
LEHMAN BROTHERS INC.
June 28, 2004 - October 13, 2006
MERRIMAN CAPITAL, INC.
February 26, 2002 - February 4, 2004
UBS SECURITIES LLC
August 26, 1999 - December 4, 2001
GOLDMAN SACHS & CO. LLC
November 21, 1994 - July 27, 1999
LEHMAN BROTHERS INC.
March 18, 1991 - August 14, 1992
GOLDMAN SACHS & CO. LLC
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: 4/27/1999
Limited Representative-Equity Trader ExamCurrent Firm
U.S. STERLING SECURITIES, INC.
CRD#: 35912 / SEC#: , 8-47052
Contact information
FINRA licenses (43 States and Territories)
Direct owners and executive officers
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.
