Christopher D. Ferrick
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 Dennis Ferrick, who also goes by Chris Ferrick, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1992. Christopher had worked at 6 firms and has passed the Series 63, Series 65, Series 7TO, Series 82TO, Series 99TO, Series 3, SIE, Series 55, Series 7, Series 27 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
March 9, 2018 - July 10, 2020
FINANCE OF AMERICA SECURITIES LLC
May 29, 2013 - January 31, 2014
STILLPOINT CAPITAL, LLC
November 19, 2010 - June 3, 2011
J.P. MORGAN SECURITIES LLC
November 1, 2004 - April 24, 2009
BIRCHTREE FINANCIAL SERVICES LLC
August 23, 2000 - June 1, 2004
LEHMAN BROTHERS INC.
July 20, 1992 - January 1, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 7TO
Date: 8/26/2022
General Securities Representative ExaminationSeries 82TO
Date: 8/26/2022
Limited Representative-Private Securities OfferingsSeries 99TO
Date: 8/26/2022
Operations Professional ExaminationSeries 55
Date: 9/27/2000
Limited Representative-Equity Trader ExamCurrent Firm
FINANCE OF AMERICA SECURITIES LLC
CRD#: 284464 / SEC#: , 8-69803
Contact information
FINRA licenses (4 States and Territories)
Documents
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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