Christine Chao
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.
Christine Chao, who also goes by Christine Ashley Bass, Christine Ashley Kralik, was a registered financial professional .
Christine is a previously registered financial professional and started their career in finance in 1994. Christine had worked at 2 firms and has passed the Series 63, Series 7, Series 28 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 30, 2018 - June 11, 2019
TPEG SECURITIES, LLC
August 18, 1994 - July 7, 1997
RAUSCHER PIERCE REFSNES, INC.
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 28
Date: 7/30/2018
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
TPEG SECURITIES, LLC
CRD#: 146726 / SEC#: , 8-67843
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
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.
