Christopher A. Queen
Professional summary
Christopher Allen Queen 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 advisor and started their career in finance in 1998. Prior to being barred, Christopher had worked at 7 firms, which includes CHASE INVESTMENT SERVICES CORP., CITIGROUP GLOBAL MARKETS INC., CITICORP INVESTMENT SERVICES, RAYMOND JAMES FINANCIAL SERVICES INC., W.J. NOLAN & COMPANY INC., HERBERT J. SIMS & CO INC., GKN SECURITIES CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 15, 2008 - January 27, 2011
CHASE INVESTMENT SERVICES CORP.
July 14, 2008 - January 27, 2011
CHASE INVESTMENT SERVICES CORP.
May 29, 2007 - July 24, 2008
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - July 24, 2008
CITIGROUP GLOBAL MARKETS INC.
December 7, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
January 26, 2004 - May 29, 2007
CITICORP INVESTMENT SERVICES
February 26, 2001 - October 29, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 9, 1999 - February 1, 2001
W.J. NOLAN & COMPANY, INC.
December 1, 1998 - October 29, 1999
HERBERT J. SIMS & CO, INC.
February 3, 1998 - December 4, 1998
GKN SECURITIES CORP.
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
CHASE INVESTMENT SERVICES CORP.
CRD#: 25574 / SEC#: 801-36407, 8-41840
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BANC ONE CAPITAL HOLDINGS LLC | DIRECT OWNER | |
| ADITYA, MAHESH CHATTA | BOARD MEMBER | 5586574 |
| CHABOT, ALAN JAMES | PRESIDENT & CEO, BOARD MEMBER | 2617874 |
| DAVIS, JAMES HUBER | CHIEF OPERATIONS OFFICER | 4166100 |
| DEEGAN, DANIEL ROBERT | EXECUTIVE VICE PRESIDENT | 1143339 |
| DURKEE, JEFFREY WILLIS | EXECUTIVE VICE PRESIDENT | 1009266 |
| GINDI, SOL | CFO, BOARD MEMBER | 4903526 |
| GRAY, ANNE LOUISE | SENIOR VICE PRESIDENT | 1779722 |
| HAIGIS, PHILIP HOWARD JR. | EXECUTIVE VICE PRESIDENT | 4340276 |
| JULIAN, BETH WILSON | EXECUTIVE VICE PRESIDENT | 1071047 |
| KLEINBAUM, GREGG ADAM | EXECUTIVE VICE PRESIDENT | 2555215 |
| MARTIN, KEVIN LEE | EXECUTIVE VICE PRESIDENT | 2742022 |
| PANTALEO, LAURA ANN | EXECUTIVE VICE PRESIDENT | 1501065 |
| QUINN, JOHN P | EXECUTIVE VICE PRESIDENT,NATIONAL SALES DIRECTOR | 5631540 |
| REED, JAMIE MATTHEW | EXECUTIVE VICE PRESIDENT | 2797383 |
| SKARDA, JOSEPH BRIEL | EXECUTIVE VICE PRESIDENT | 4288186 |
| TEPPER, ERIC DAVID | EXECUTIVE VICE PRESIDENT | 2242377 |
| WILBURN, DOUGLAS FREDERICK | CHIEF COMPLIANCE OFFICER | 1407686 |
Disclosures
| Regulatory Event | 62 |
| Arbitration | 19 |
Red Flags
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