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Christopher Krolick

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CRD#: 2785320
CK

Professional summary

Christopher Krolick 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 professional and started their career in finance in 1996. Prior to being barred, Christopher had worked at 1 firm, which includes RELIGARE CAPITAL MARKETS (USA) LLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Christopher Krolkk

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 29, 1996 - August 31, 2010

RELIGARE CAPITAL MARKETS (USA) LLC

BD
CRD#: 39142
STAMFORD, CT

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: 9/24/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 8/17/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 8/20/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 10/3/2000
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/11/1997
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 12/23/1996
Financial and Operations Principal Examination

Current Firm

RC
RELIGARE CAPITAL MARKETS (USA) LLC
BARNARD JACOBS MELLET (USA) LLC | RELIGARE CAPITAL MARKETS (USA) LLC | RAND INTERNATIONAL SECURITIES, L.L.C.

CRD#: 39142 / SEC#: , 8-48591

BD
Terminated by SEC on 09/27/2011
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 12/02/1994
Firm type
Limited Liability Company
Fiscal year end
March
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
RELIGARE INVESTMENT HOLDINGS (UK) LIMITEDMEMBER
DAY, THOMAS RCHIEF COMPLIANCE OFFICER1879801
MARRON, PATRICK JOSEPHFINOP1170673

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

RELIGARE CAPITAL MARKETS (USA) LLC

CRD#: 39142

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