Christopher E. Saxon
Professional summary
Christopher Eric Saxon 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 1996. Prior to being barred, Christopher had worked at 4 firms, which includes RAYMOND JAMES FINANCIAL SERVICES INC., NATCITY INVESTMENTS INC., NATCITY INSURANCE SERVICES INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 21, 1999 - June 2, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 10, 1998 - June 2, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 23, 1998 - July 10, 1998
NATCITY INVESTMENTS, INC.
December 16, 1997 - July 10, 1998
NATCITY INSURANCE SERVICES, INC.
June 7, 1996 - November 17, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR, CHAIRMAN OF THE BOARD, PRESIDENT, AND CHIEF EXECUTIVE OFFICER | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
| ZOLPER, ANDREW CANNING | DIRECTOR | 5304616 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
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