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CC

Christopher C. Callaghan

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CRD#: 2249520
CC

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 Carroll Callaghan, who also goes by Christopher Callaghan, was a registered financial professional .

Christopher is a previously registered financial professional and started their career in finance in 1992. Christopher had worked at 9 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Christopher Callaghan

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

January 23, 2020 - December 31, 2022

JAVELIN SECURITIES, LLC

BD
CRD#: 107473
COHASSET, MA
Past

January 9, 2017 - February 20, 2018

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
NEW YORK, NY
Past

July 29, 2016 - January 10, 2017

TJM INVESTMENTS, LLC

BD
CRD#: 46300
New York, NY
Past

August 1, 2012 - October 8, 2014

GFI SECURITIES LLC

BD
CRD#: 19982
NEW YORK, NY
Past

October 29, 2003 - May 18, 2012

ICE BONDS SECURITIES CORPORATION

BD
CRD#: 123635
HOBOKEN, NJ
Past

September 13, 2002 - October 15, 2003

TRADITION SECURITIES AND DERIVATIVES LLC

BD
CRD#: 28269
NEW YORK, NY
Past

July 11, 1997 - November 3, 2000

CANTOR FITZGERALD SECURITIES

BD
CRD#: 19660
NEW YORK, NY
Past

March 17, 1993 - July 9, 1997

TITUS & DONNELLY LLC

BD
CRD#: 7033
NEW YORK, NY
Past

July 27, 1992 - October 27, 1992

LEHMAN BROTHERS INC.

BD
CRD#: 7506
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: 7/21/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 2/20/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 8/7/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 7/14/1992
General Securities Representative Examination

Current Firm

JS
JAVELIN SECURITIES, LLC
AGP DERIVATIVES CORP. | SEEKINGCAPITAL SECURITIES CORP. | OVERMYER SECURITIES LLC | JAVELIN SECURITIES, LLC | IDX DERIVATIVES, LLC

CRD#: 107473 / SEC#: , 8-53043

BD
Terminated by SEC on 03/31/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 11/23/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
OZONE CAPITAL MARKETS LLCSOLE MEMBER
MCELWREATH, EDWARD THOMASREGISTERED PRINCIPAL1111324
POLLOCK, MARTIN JAYFINOP - PRIMARY1067521
SULLIVAN, JOHN WALLACECCO, DESIGNATED PRINCIPAL, AML PRINCIPAL2417280

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

JAVELIN SECURITIES, LLC

CRD#: 107473

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