Christopher E. Shufeldt
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 Eugene Shufeldt, who also goes by Chris Shufeldt, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1996. Christopher had worked at 12 firms and has passed the Series 63, Series 65, Series 99TO, SIE, Series 79, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 28, 2024 - March 17, 2026
ABRAHAM SECURITIES CORPORATION
October 20, 2022 - July 5, 2023
SCOTTSDALE CAPITAL ADVISORS CORP
August 20, 2021 - July 5, 2023
SCOTTSDALE CAPITAL ADVISORS CORP
November 7, 2019 - January 24, 2020
NYLIFE SECURITIES LLC
July 17, 2019 - August 21, 2019
IBN FINANCIAL SERVICES, INC.
May 15, 2019 - August 21, 2019
IBN FINANCIAL SERVICES, INC.
December 9, 2017 - May 31, 2018
UNIVEST SECURITIES, LLC
October 17, 2016 - November 28, 2016
ZIV INVESTMENT COMPANY
February 5, 2015 - November 6, 2015
PICKWICK CAPITAL PARTNERS, LLC
March 7, 2011 - June 30, 2014
CAPITAL PATH SECURITIES, LLC
January 4, 2010 - March 7, 2011
HUDSON VALLEY CAPITAL MANAGEMENT
January 9, 2009 - December 31, 2009
LASALLE ST SECURITIES, L.L.C.
October 25, 2002 - December 31, 2008
KIMBALL & CROSS INVESTMENT MANAGEMENT CORP.
January 22, 1999 - November 20, 2002
TRAUTMAN WASSERMAN & COMPANY, INC.
December 24, 1996 - July 15, 1998
TRAUTMAN WASSERMAN & COMPANY, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
ABRAHAM SECURITIES CORPORATION
CRD#: 13498 / SEC#: , 8-29452
Contact information
FINRA licenses (3 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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