Christopher M. Delcioppo
Professional summary
Christopher M Delcioppo was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Christopher is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Christopher had worked at 4 firms, which includes M.S. FARRELL & COMPANY INC., JOSEPHTHAL & CO. INC., A.S. GOLDMEN & CO. INC., JOSEPH STEVENS & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 25, 1998 - October 12, 1998
M.S. FARRELL & COMPANY, INC.
June 26, 1998 - November 13, 1998
JOSEPHTHAL & CO., INC.
February 5, 1997 - July 1, 1998
A.S. GOLDMEN & CO., INC.
August 28, 1996 - February 5, 1997
JOSEPH STEVENS & CO., 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
M.S. FARRELL & COMPANY, INC.
CRD#: 24232 / SEC#: , 8-41157
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| M.S. FARRELL HOLDINGS, INC. | OWNS APPLICANT | |
| DRAGON, THEODORE JOSEPH | DIRECTOR OF COMPLIANCE | 2831853 |
| GALLO, THOMAS ANTHONY | CHIEF EXECUTIVE OFFICER | 1705791 |
| NEUHAUS, LEONARD ALAN | CHIEF FINANCIAL OFFICER | 1871294 |
| REMPEL, BRENDAN CHRISTOPHER | PRESIDENT | 2121458 |
| SCHACKER, KEITH STUART | CHIEF OPERATING OFFICER/SROP/CROP | 1392793 |
| SCHACKER, MARTIN FARRELL | CHAIRMAN | 1133567 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 7 |
Red Flags
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