Chaim J. Ochs
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.
Chaim Joseph Ochs, who also goes by Howard Ochs, was a registered financial professional .
Chaim is a previously registered financial professional and started their career in finance in 2001. Chaim had worked at 4 firms and has passed the Series 63, 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
May 5, 2011 - November 16, 2012
COASTAL TRADE SECURITIES, LLC
August 26, 2009 - August 5, 2010
ECHOTRADE LLC
April 26, 2006 - October 18, 2007
ECHOTRADE LLC
August 16, 2002 - December 18, 2003
SCHONFELD SECURITIES, LLC
August 22, 2001 - September 11, 2002
RUMSON CAPITAL, 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
Series 55
Date: 9/24/2001
Limited Representative-Equity Trader ExamCurrent Firm
COASTAL TRADE SECURITIES, LLC
CRD#: 148246 / SEC#: , 8-67999
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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