Christopher Avena
Professional summary
Christopher Avena was barred by the FINRA 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 1994. Prior to being barred, Christopher had worked at 2 firms, which includes DUKE & CO. INC., H G I.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 29, 1994 - November 4, 1996
DUKE & CO., INC.
March 23, 1994 - August 1, 1994
H G I
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
DUKE & CO., INC.
CRD#: 8035 / SEC#: , 8-24174
Contact information
Documents
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.
