Christopher R. Castroviejo
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 Ramon Castroviejo, who also goes by Chris Castroviejo, Ramon Christophe Castroviejo, Ramon Christopher Castroviejo, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1971. Christopher had worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 15, Series 5, Series 000, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 7, 2014 - July 30, 2018
ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC
October 21, 1983 - December 7, 1989
SUSSEX SECURITIES INCORPORATED
April 16, 1980 - October 21, 1983
J.P. MORGAN SECURITIES LLC
March 20, 1979 - May 16, 1980
FAHNESTOCK INTERNATIONAL INC.
January 11, 1979 - January 10, 1985
ROSS, STEBBINS INC.
August 4, 1972 - June 1, 1974
FAULKNER, DAWKINS & SULLIVAN INC.
September 8, 1971 - September 2, 1972
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 15
Date: 2/25/1985
Foreign Currency Options ExaminationSeries 5
Date: 10/14/1981
Interest Rate Options ExaminationSeries 000
Date: 9/21/1971
General Securities Principal ExaminationSeries 1
Date: 9/2/1971
Registered Representative ExaminationCurrent Firm
ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC
CRD#: 135131 / SEC#: , 8-66889
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
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