Christopher R. Fardella
Professional summary
Christopher Ryan Fardella was barred by the FINRA 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 8 firms, which includes GLENN MICHAEL FINANCIAL INC., GREAT EASTERN SECURITIES INC., GRADY AND HATCH & COMPANY INC., CHICAGO INVESTMENT GROUP LLC, PROVIDENTIAL SECURITIES INC., THINKEQUITY LLC, HORNBLOWER & WEEKS INC., CARNEGIE INVESTOR SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 13, 2002 - October 29, 2002
GLENN MICHAEL FINANCIAL, INC.
January 15, 2002 - May 29, 2002
GREAT EASTERN SECURITIES, INC.
May 9, 2001 - December 17, 2001
GRADY AND HATCH & COMPANY, INC.
September 18, 2000 - March 27, 2001
CHICAGO INVESTMENT GROUP, LLC
February 4, 2000 - October 2, 2000
PROVIDENTIAL SECURITIES, INC.
June 4, 1999 - August 27, 1999
THINKEQUITY LLC
January 25, 1999 - February 26, 1999
HORNBLOWER & WEEKS, INC.
April 16, 1998 - December 11, 1998
CARNEGIE INVESTOR 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
GLENN MICHAEL FINANCIAL, INC.
CRD#: 37912 / SEC#: , 8-47988
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GMF HOLDING CORP. | SHAREHOLDER | |
| AULLETTA, GARY GLENN | GENERAL PRINCIPAL | 8790 |
| BENOWITZ, ROBERT LAWRENCE | HEAD TRADER | 2181059 |
| KAVANAGH, JOSEPH ROBERT | GENERAL PRINCIPAL | 1348454 |
| LANAIA, FRANCINE ANN | VICE PRESIDENT, COMPLIANCE DIRECTOR | 1415689 |
| LANAIA, GLENN MICHAEL | PRESIDENT, FINOP | 1122707 |
| MERKENT, JOHN EDWARD | SROP | 1878878 |
Disclosures
| Regulatory Event | 6 |
| Civil Event | 1 |
| Arbitration | 7 |
Red Flags
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