Christopher P. Lordi
Professional summary
Christopher Patrick Lordi 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 5 firms, which includes MERIT CAPITAL ASSOCIATES INC., WIN CAPITAL CORP., CONTINENTAL BROKER-DEALER CORP., UBS FINANCIAL SERVICES INC., GRUNTAL & CO. L.L.C..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 29, 1998 - June 25, 1998
MERIT CAPITAL ASSOCIATES, INC.
March 13, 1996 - January 14, 1997
WIN CAPITAL CORP.
October 16, 1995 - February 2, 1997
CONTINENTAL BROKER-DEALER CORP.
May 1, 1995 - October 24, 1995
UBS FINANCIAL SERVICES INC.
November 29, 1994 - February 14, 1995
GRUNTAL & CO., L.L.C.
September 27, 1994 - November 3, 1994
CONTINENTAL BROKER-DEALER CORP.
State Registrations and Notice Filings
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Exams
Current Firm
MERIT CAPITAL ASSOCIATES, INC.
CRD#: 30576 / SEC#: , 8-45013
Contact information
Documents
Disclosures
| Regulatory Event | 16 |
| Arbitration | 15 |
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