Christopher C. Martel
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 Charles Martel, who also goes by Chris Martel, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2004. Christopher had worked at 4 firms and has passed the SIE, Series 99 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2017 - April 4, 2018
DASH FINANCIAL TECHNOLOGIES LLC
February 20, 2015 - March 15, 2017
COWEN EXECUTION SERVICES LLC
May 16, 2006 - October 31, 2007
VAN DER MOOLEN SPECIALISTS USA, LLC
August 9, 2004 - July 25, 2005
ADIRONDACK ELECTRONIC MARKETS 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
Current Firm
DASH FINANCIAL TECHNOLOGIES LLC
CRD#: 104031 / SEC#: , 8-52503
Contact information
FINRA licenses (26 States and Territories)
Documents
Disclosures
| Regulatory Event | 68 |
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.
