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CJ

Christopher E. Jefferson

Some features on this profile are disabled
CRD#: 2620907
CJ

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.

Christopher Elroy Jefferson was a registered financial professional .

Christopher is a previously registered financial professional and started their career in finance in 1997. Christopher had worked at 5 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 15, 2019 - May 24, 2021

ASHLAND SECURITIES, LLC

BD
CRD#: 297523
MIAMI, FL
Past

June 15, 2004 - July 9, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

September 29, 2003 - March 25, 2004

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

August 14, 2000 - November 26, 2002

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

September 3, 1997 - August 25, 1998

THE ROBINSON-HUMPHREY COMPANY, LLC

BD
CRD#: 723
ATLANTA, GA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/21/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 8/15/2019
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 4/30/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/29/1997
General Securities Representative Examination

Current Firm

AS
ASHLAND SECURITIES, LLC
ASHLAND SECURITIES, LLC

CRD#: 297523 / SEC#: , 8-70133

BD
Terminated by SEC on 02/13/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 05/21/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
JORDAN, CHARLES APRESIDENT, CCO & AMLCO4537219
JUILIANO, COLLEEN JANEFINOP4818898

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.

Company Information

ASHLAND SECURITIES, LLC

CRD#: 297523

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