Christopher D. Solomon
Professional summary
Christopher David Solomon was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Christopher is a previously registered financial professional and started their career in finance in 2001. Prior to being barred, Christopher had worked at 3 firms, which includes INVESTORS CAPITAL CORP., GUNNALLEN FINANCIAL INC, STERLING ENTERPRISES GROUP INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 12, 2003 - January 20, 2006
INVESTORS CAPITAL CORP.
December 13, 2001 - December 17, 2001
GUNNALLEN FINANCIAL, INC
December 13, 2001 - February 21, 2003
STERLING ENTERPRISES GROUP, INC.
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
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
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.
