Craig A. Phares
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.
Craig Anthony Phares was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1995. Craig had worked at 7 firms and has passed the Series 63, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2011 - May 9, 2014
CICC US SECURITIES, INC.
April 29, 2010 - November 22, 2010
GFI SECURITIES LLC
March 8, 2004 - October 26, 2009
NOMURA SECURITIES INTERNATIONAL, INC.
May 18, 2000 - March 15, 2004
GOLDMAN SACHS & CO. LLC
February 19, 1998 - May 31, 2000
ABN AMRO INCORPORATED
October 9, 1996 - January 23, 1998
BARCLAYS CAPITAL INC.
June 1, 1995 - August 7, 1996
ING BARING (U.S.) SECURITIES, 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
Current Firm
CICC US SECURITIES, INC.
CRD#: 143221 / SEC#: , 8-67544
Contact information
FINRA licenses (2 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
