Christopher C. Carlson
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 Charles Carlson was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1997. Christopher had worked at 8 firms and has passed the Series 63, SIE, Series 57TO, Series 55 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
March 9, 2022 - January 3, 2023
QUIET LIGHT SECURITIES, LLC
October 10, 2012 - January 15, 2015
WALLEYE TRADING LLC
July 1, 2003 - January 28, 2008
WELLS FARGO SECURITIES, LLC
October 1, 1999 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
April 23, 1999 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
June 29, 1998 - September 4, 1998
UBS SECURITIES LLC
September 2, 1997 - June 29, 1998
SBC WARBURG DILLON READ INC.
January 9, 1997 - September 2, 1997
SBC WARBURG, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 3/9/2022
Securities Trader ExamSeries 55
Date: 4/13/2000
Limited Representative-Equity Trader ExamCurrent Firm
QUIET LIGHT SECURITIES, LLC
CRD#: 35870 / SEC#: , 8-47114
Contact information
Documents
Disclosures
| Regulatory Event | 10 |
Red Flags
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