Christopher J. Roundtree
Professional summary
Christopher James Roundtree was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Christopher is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Christopher had worked at 2 firms, which includes SALOMON GREY FINANCIAL CORPORATION, PACIFIC CORTEZ SECURITIES INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 1999 - November 19, 2004
SALOMON GREY FINANCIAL CORPORATION
January 1, 1998 - December 31, 1998
PACIFIC CORTEZ SECURITIES INCORPORATED
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 55
Date: 3/30/1999
Limited Representative-Equity Trader ExamSeries 62
Date: 12/24/1997
Corporate Securities Limited Representative ExaminationCurrent Firm
SALOMON GREY FINANCIAL CORPORATION
CRD#: 43413 / SEC#: , 8-50268
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
| Civil Event | 1 |
| Arbitration | 5 |
| Financial | 1 |
Red Flags
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