Christian L. Gloria
Professional summary
Christian Limon Gloria was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Christian is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Christian had worked at 4 firms, which includes WAMU INVESTMENTS INC., GRIFFIN FINANCIAL SERVICES, GREAT WESTERN FINANCIAL SECURITIES CORPORATION, WELLS FARGO SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 1999 - August 28, 2000
WAMU INVESTMENTS, INC.
May 19, 1998 - January 1, 1999
GRIFFIN FINANCIAL SERVICES
July 31, 1997 - March 27, 1998
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
December 7, 1994 - March 16, 1995
WELLS FARGO SECURITIES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WAMU INVESTMENTS, INC.
CRD#: 599 / SEC#: , 8-3641
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WASHINGTON MUTUAL BROKERAGE HOLDINGS, INC. | DIRECT OWNER | |
| CECILIO, ROBERT MARC | DIRECTOR, PRESIDENT, CHIEF ADMINISTRATIVE OFFICER | 1539928 |
| CHABOT, ALAN JAMES | DIRECTOR | 2617874 |
| HENRY, J. CHRISTOPHER | DIRECTOR | 5591455 |
| PERSONS, AARON MATTHEW | FIRST VICE PRESIDENT | 2216151 |
| RHEE, LISA HAMMOND | FINOP | 3251733 |
| WILBURN, DOUGLAS FREDERICK | SENIOR VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 1407686 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 18 |
Red Flags
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