Christopher V. Ferruzza
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 Vincent Ferruzza, who also goes by Christopher V Ferruzza, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1996. Christopher had worked at 8 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 6, 2003 - September 2, 2005
GUNNALLEN FINANCIAL, INC
April 30, 2001 - December 17, 2001
HARRISON SECURITIES, INC.
June 5, 2000 - May 18, 2001
GLOBAL CAPITAL SECURITIES CORPORATION
March 2, 1999 - June 1, 2000
TASIN & COMPANY, INC.
February 10, 1998 - December 23, 1998
PACIFIC CORTEZ SECURITIES INCORPORATED
June 27, 1997 - December 15, 1997
ROYAL HUTTON SECURITIES CORP.
June 12, 1997 - July 28, 1997
INVESTORS ASSOCIATES, INC.
May 21, 1997 - July 28, 1997
INVESTORS ASSOCIATES, INC.
April 21, 1997 - May 30, 1997
H.J. MEYERS & CO., INC.
August 30, 1996 - April 18, 1997
INVESTORS ASSOCIATES, 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
GUNNALLEN FINANCIAL, INC
CRD#: 17609 / SEC#: , 8-35508
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 13 |
Red Flags
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