Christopher O. Elliott
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 Orlando Elliott 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 66, Series 7TO, 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
February 18, 2020 - June 1, 2020
INTERNATIONAL ASSETS ADVISORY, LLC
February 8, 2010 - December 31, 2010
ELLIOTT & ASSOCIATES WEALTH MANAGEMENT INC.
February 8, 2010 - October 24, 2013
ELLIOTT & ASSOCIATES WEALTH MANAGEMENT INC.
December 1, 2009 - April 5, 2011
STERLING ENTERPRISES GROUP, INC.
June 25, 2009 - January 4, 2013
RELIANCE WEALTH & TRUST PARTNERS, LLC
March 2, 2009 - November 13, 2009
PURSHE KAPLAN STERLING INVESTMENTS
February 5, 2008 - February 9, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 18, 2008 - February 9, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 3, 2007 - January 22, 2008
EQUITABLE ADVISORS, LLC
April 16, 2007 - January 22, 2008
EQUITABLE ADVISORS, LLC
August 28, 2003 - March 26, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 30, 1999 - March 26, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645 / SEC#: 801-119029, 8-27736
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: 2/18/2020
General Securities Representative ExaminationCurrent Firm
INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645 / SEC#: 801-119029, 8-27736
Contact information
SEC notice filing (1 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PECUNIA MANAGEMENT, LLC | OWNER | |
| COFRANCESCO, EDWARD RICHARD | CEO | 2305035 |
| LAMPMAN, MATTHEW EDWARD | PRESIDENT/CHIEF OPERATING OFFICER | 6132493 |
| MOORE, ANN KATHERINE | CHIEF BUSINESS DEVELOPMENT OFFICER | 5535928 |
| NICHOLSON, MYRA PEARLE | CHIEF LEGAL OFFICER, CHIEF RISK OFFICER | 2740029 |
| WEINBERGER, DAVID S | REGISTERED OPTIONS PRINCIPAL / CHIEF FINANCIAL OFFICER / CHIEF REGULATORY OFFICER | 2676116 |
| WEISS, RICHARD JAY | CHIEF COMPLIANCE OFFICER, CHIEF AML CCO | 2523174 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
