Chris K. Busby
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.
Chris Keith Busby, who also goes by Christopher Busby, was a registered financial professional .
Chris is a previously registered financial professional and started their career in finance in 2008. Chris had worked at 4 firms and has passed the Series 66, SIE, Series 31 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 10, 2013 - November 12, 2018
TD AMERITRADE, INC.
June 10, 2013 - November 12, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
June 10, 2013 - November 12, 2018
TD AMERITRADE, INC.
November 6, 2012 - May 28, 2013
BB&T INVESTMENT SERVICES, INC.
November 5, 2012 - May 28, 2013
BB&T INVESTMENT SERVICES, INC.
October 29, 2008 - October 30, 2012
WELLS FARGO CLEARING SERVICES, LLC
October 15, 2008 - October 30, 2012
WELLS FARGO CLEARING SERVICES, LLC
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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 144 |
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.
