Christopher Foxall
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 Foxall, who also goes by Christopher Michael Foxall, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1998. Christopher had worked at 6 firms and has passed the Series 63, Series 55, 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
July 19, 2010 - June 12, 2012
CREDIT AGRICOLE SECURITIES (USA) INC.
August 10, 2009 - March 29, 2010
MULTITRADE SECURITIES LLC
June 18, 2009 - June 1, 2010
LIGHTHOUSE FINANCIAL GROUP, LLC
May 19, 2004 - June 17, 2009
J.P. MORGAN SECURITIES LLC
May 19, 2000 - March 2, 2004
UBS SECURITIES LLC
April 6, 1998 - March 3, 1999
EUROPEAN AMERICAN SECURITIES, 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
Series 55
Date: 9/13/2004
Limited Representative-Equity Trader ExamCurrent Firm
CREDIT AGRICOLE SECURITIES (USA) INC.
CRD#: 190 / SEC#: , 8-13753
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CREDIT AGRICOLE GLOBAL PARTNERS INC. ("CAGPI") | SHAREHOLDER | |
| ARNAL, CELINE | DIRECTOR | 7247072 |
| GEROLD, MARIA TERESA | CFO | 5967881 |
| HETIER, FRANCOIS-EDOUARD MARIE MARC | DIRECTOR | 7817148 |
| KURZ, WILLIAM FRANK | MEMBER OF THE BOARD OF DIRECTORS AND COO | 7602164 |
| PUBLIE, STEPHANE | INTERIM CEO AND MEMBER OF THE BOARD OF DIRECTORS | 5978052 |
| YOUN, EDWARD KYUNG-HO | CHIEF COMPLIANCE OFFICER | 6723958 |
| ZAFAR, KASHIF | MANAGING DIRECTOR | 2666642 |
Disclosures
| Regulatory Event | 18 |
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.
