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CS

Christopher M. Setaro

NPM SECURITIES
New York, NY 10016
Some features on this profile are disabled
CRD#: 2635774
CS

Professional summary

Christopher Michael Setaro is a registered financial professional currently at NPM SECURITIES, LLC located in New York, New York.

Christopher is registered as a RR (Registered Representative) and started their career in finance in 1995. Christopher has worked at 13 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 7 and Series 14 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) - BD

Click below to view Christopher Michael Setaro's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

May 6, 2022 - Present

NPM SECURITIES, LLC

Office #1: 3 East 28th Street 7th Floor 7th Floor, New York, NY, 10016
BD
CRD#: 168469
New York, NY
Past

May 18, 2021 - October 12, 2021

FORGE MARKETS LLC

BD
CRD#: 166555
SAN FRANCISCO, CA
Past

October 21, 2019 - March 8, 2022

FORGE SECURITIES LLC

BD
CRD#: 134596
New York, NY
Past

October 27, 2016 - October 21, 2019

NFSTX, LLC

BD
CRD#: 172583
NEW YORK, NY
Past

August 20, 2014 - October 21, 2019

NASDAQ CAPITAL MARKETS ADVISORY LLC

BD
CRD#: 104295
NEW YORK, NY
Past

June 9, 2014 - October 21, 2019

NPM SECURITIES, LLC

BD
CRD#: 168469
NEW YORK, NY
Past

June 9, 2014 - October 21, 2019

NASDAQ EXECUTION SERVICES, LLC

BD
CRD#: 7270
PHILADELPHIA, PA
Past

June 9, 2014 - October 21, 2019

EXECUTION ACCESS, LLC

BD
CRD#: 148423
NEW YORK, NY
Past

June 1, 2006 - June 26, 2014

INSTINET, LLC

BD
CRD#: 7897
NEW YORK, NY
Past

April 15, 2004 - July 29, 2009

NOMURA SECURITIES NORTH AMERICA, LLC

BD
CRD#: 42885
NEW YORK, NY
Past

April 14, 2004 - June 30, 2005

LYNCH, JONES & RYAN LLC

BD
CRD#: 3198
NEW YORK, NY
Past

April 14, 2004 - June 1, 2006

INSTINET, LLC

BD
CRD#: 42886
NEW YORK, NY
Past

December 19, 2003 - April 14, 2004

NOMURA SECURITIES NORTH AMERICA, LLC

BD
CRD#: 42885
NEW YORK, NY
Past

February 8, 2002 - April 14, 2004

INSTINET, LLC

BD
CRD#: 42886
NEW YORK, NY
Past

September 15, 1999 - April 14, 2004

LYNCH, JONES & RYAN LLC

BD
CRD#: 3198
NEW YORK, NY
Past

January 14, 1997 - November 26, 1999

DB ALEX. BROWN LLC

BD
CRD#: 17790
BALTIMORE, MD
Past

July 18, 1995 - July 1, 1996

NATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 13041
BOSTON, MA

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: 11/10/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/17/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 2/13/2004
Compliance Officer Examination
SRO Registrations
RR
FINRA

Current Firm

NS
NPM SECURITIES, LLC
NPM SECURITIES, LLC

CRD#: 168469 / SEC#: , 8-69312

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
3 East 28th Street 7th Floor, New York, NY 10016
Mailing Address
3 East 28th Street 7th Floor, New York, NY 10016
Phone number
(646) 968-7064
Established
Delaware since 05/01/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
NASDAQ PRIVATE MARKET, LLC (FKA: COPELAND MARKETS)SHAREHOLDER
AFONJA, LATIFATFINOP5443130
CALLAHAN, THOMAS FRANCISCHIEF EXECUTIVE OFFICER2278823
KROCULICK, ANDREW JOHNHEAD OF BUSINESS OPERATIONS AND CLIENT EXPERIENCE7759899
SETARO, CHRISTOPHER MICHAELCHIEF COMPLIANCE OFFICER2635774

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

NPM SECURITIES, LLC

CRD#: 168469New York, NY 10016

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