Christopher D. Chu
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 David Chu was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1992. Christopher had worked at 8 firms and has passed the Series 63, SIE, 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
July 2, 2018 - February 20, 2019
WHITAKER SECURITIES LLC
October 25, 2017 - June 29, 2018
LEK SECURITIES CORPORATION
January 14, 1998 - December 5, 2016
SEIDEL & CO., LLC
October 27, 1994 - May 26, 1995
BEACON SECURITIES, INC.
April 13, 1994 - August 2, 1994
EMANUEL AND COMPANY
January 12, 1994 - April 26, 1994
HANOVER, STERLING & COMPANY LTD.
January 1, 1993 - March 31, 1993
CIBC WORLD MARKETS CORP.
December 9, 1992 - November 1, 1993
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WHITAKER SECURITIES LLC
CRD#: 121465 / SEC#: , 8-65419
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NICOSIA, ROSALIE MARGARET | CHIEF COMPLIANCE OFFICER, CRCP | 4239124 |
Disclosures
| Regulatory Event | 6 |
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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