Christopher T. Paganes
Professional summary
Christopher Thomas Paganes was barred by both the FINRA and 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 1991. Prior to being barred, Christopher had worked at 5 firms, which includes GREAT EASTERN SECURITIES INC., BROADSTONE SECURITIES, MAXIMUM FINANCIAL INVESTMENT GROUP INC., MEADOWBROOK SECURITIES INC., AMERIPRISE ADVISOR SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2005 - January 19, 2007
GREAT EASTERN SECURITIES, INC.
May 22, 2000 - November 27, 2001
BROADSTONE SECURITIES
July 18, 1996 - September 30, 2008
MAXIMUM FINANCIAL INVESTMENT GROUP, INC.
February 6, 1996 - July 25, 1996
MEADOWBROOK SECURITIES INC.
November 29, 1991 - January 17, 1996
AMERIPRISE ADVISOR SERVICES, INC.
State Registrations and Notice Filings
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Exams
Series 28
Date: 11/16/1998
Introducing Broker/Dealer Financial Operations Principal ExaminationSeries 8
Date: 3/15/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
GREAT EASTERN SECURITIES, INC.
CRD#: 2061 / SEC#: , 8-16880
Contact information
Documents
Disclosures
| Regulatory Event | 9 |
| Arbitration | 5 |
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