Christopher B. Farley
Professional summary
Christopher Brooks Farley was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Christopher Brooks Farley, who also goes by C. Brooks Farley, Christopher B L Farley, was a registered financial advisor .
Christopher is a previously registered financial advisor and started their career in finance in 1996. Christopher had worked at 7 firms and has passed the Series 65, Series 63, Series 31 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
November 5, 2007 - March 5, 2009
CREDIT SUISSE SECURITIES (USA) LLC
November 5, 2007 - March 5, 2009
CREDIT SUISSE SECURITIES (USA) LLC
August 15, 2006 - May 21, 2007
ADVANCED EQUITIES, INC.
August 15, 2006 - May 21, 2007
ADVANCED EQUITIES, INC.
March 24, 2005 - August 21, 2006
CITIGROUP GLOBAL MARKETS INC.
March 23, 2005 - August 21, 2006
CITIGROUP GLOBAL MARKETS INC.
March 22, 2000 - March 24, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 20, 2000 - March 24, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 30, 1998 - March 16, 2000
PRUDENTIAL EQUITY GROUP, LLC
February 9, 1998 - November 18, 1998
CHARLES SCHWAB & CO., INC.
December 20, 1996 - December 18, 1997
UBS FINANCIAL SERVICES 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
CREDIT SUISSE SECURITIES (USA) LLC
CRD#: 816 / SEC#: 801-56264, 8-422
Contact information
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 805,275,346 |
Disclosures
| Regulatory Event | 322 |
| Civil Event | 8 |
| Arbitration | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/26/2023 | ||
| 01/25/2023 |
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.
