Christopher D. Joswick
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 David Joswick was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2000. Christopher had worked at 3 firms and has passed the SIE, Series 55 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
September 22, 2014 - February 17, 2016
G1 EXECUTION SERVICES, LLC
March 1, 2007 - September 22, 2014
SAL EQUITY TRADING, GP
February 25, 2005 - September 7, 2006
SUSQUEHANNA FIXED INCOME, L.P.
December 21, 2000 - February 25, 2005
SAL EQUITY TRADING, GP
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 55
Date: 4/20/2001
Limited Representative-Equity Trader ExamCurrent Firm
G1 EXECUTION SERVICES, LLC
CRD#: 111528 / SEC#: , 8-53174
Contact information
FINRA licenses (2 States and Territories)
Documents
Disclosures
| Regulatory Event | 34 |
| Civil Event | 1 |
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.
