Christopher P. Browne
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 Parsons Browne was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1998. Christopher had worked at 2 firms and has passed the Series 63, SIE, Series 7TO 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 22, 2019 - July 9, 2024
LIQUIDITY.IO, LLC
October 21, 1998 - January 6, 1999
FINANCIAL WEST GROUP
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
Series 7TO
Date: 10/21/2019
General Securities Representative ExaminationCurrent Firm
LIQUIDITY.IO, LLC
CRD#: 289499 / SEC#: , 8-70000
Contact information
FINRA licenses (52 States and Territories)
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.
