Christopher B. Ross
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 Bruce-legendre Ross, who also goes by Bruce Legendre Ross, Bruce Legendre Ross, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2000. Christopher had worked at 5 firms and has passed the Series 63 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
March 19, 2013 - August 21, 2013
DCMB SECURITIES LLC
April 13, 2005 - September 28, 2011
PPHB SECURITIES LP
November 8, 2001 - March 16, 2004
JEFFERIES LLC
February 5, 2001 - November 23, 2001
RBC CAPITAL MARKETS, LLC
September 11, 2000 - February 28, 2001
RBC CAPITAL MARKETS CORPORATION
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
DCMB SECURITIES LLC
CRD#: 146578 / SEC#: , 8-67831
Contact information
FINRA licenses (13 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DONOVAN, JOHN WILLIAM JR. | MANAGING MEMBER/PRESIDENT/SECRETARY/DESIGNATED PRINCIPAL/CCO | |
| KATZ, MARIE | FINOP/CFO | 2457660 |
Red Flags
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