Christopher R. Saul
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 Robert Saul, who also goes by Chris Saul, Christopher Saul, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1999. Christopher had worked at 8 firms and has passed the Series 63, SIE 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
June 19, 2023 - February 2, 2026
BLUEROCK CAPITAL MARKETS LLC
June 12, 2015 - April 3, 2023
BNY MELLON SECURITIES CORPORATION
October 12, 2007 - June 10, 2015
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
June 27, 2006 - October 4, 2007
EQUITY SERVICES, INC.
February 7, 2005 - March 7, 2006
CHICAGO INVESTMENT GROUP, LLC
July 8, 2003 - February 3, 2005
R.M. STARK & CO., INC.
November 20, 2002 - July 7, 2003
LADENBURG THALMANN & CO. INC.
July 2, 1999 - November 20, 2002
LADENBURG CAPITAL MANAGEMENT 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
BLUEROCK CAPITAL MARKETS LLC
CRD#: 136974 / SEC#: , 8-67058
Contact information
FINRA licenses (52 States and Territories)
Documents
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.
