Christopher E. Nam
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 Eugene Nam was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2005. Christopher had worked at 5 firms and has passed the Series 57TO, SIE 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 10, 2021 - December 9, 2021
GREAT POINT CAPITAL LLC
June 21, 2011 - June 21, 2012
WTS PROPRIETARY TRADING GROUP LLC
January 5, 2009 - December 18, 2009
ECHOTRADE LLC
October 9, 2008 - December 2, 2008
E*TRADE SECURITIES LLC
April 22, 2006 - April 1, 2008
ECHOTRADE LLC
November 22, 2005 - January 17, 2006
TAFFERER TRADING, 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 57TO
Date: 3/10/2021
Securities Trader ExamCurrent Firm
GREAT POINT CAPITAL LLC
CRD#: 114203 / SEC#: , 8-53402
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 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.
