Christopher Bettini
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 Bettini, who also goes by Chris Bettini, Christopher Michael Bettini, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2003. Christopher had worked at 5 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
September 27, 2007 - September 5, 2014
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
January 23, 2007 - September 25, 2007
LPL FINANCIAL LLC
March 30, 2005 - January 3, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 27, 2004 - March 24, 2004
TRILLIUM BROKERAGE SERVICES, LLC
April 3, 2003 - December 18, 2003
SCHONFELD SECURITIES, 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: 4/16/2003
Limited Representative-Equity Trader ExamCurrent Firm
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
CRD#: 487 / SEC#: , 8-395
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLS FARGO BANK, N.A. | MEMBER | |
| CLEWS, KENNETH JAMES | FINOP/PRINCIPAL FINANCIAL OFFICER | 4155852 |
| GALLO, NICOLE ELISE | CHIEF COMPLIANCE OFFICER | 4915541 |
| NICOLOSI, SEAN MICHAEL | PRINCIPAL OPERATIONS OFFICER, DIRECTOR | 4082275 |
| TABACK, ADAM IRA | PRESIDENT / DIRECTOR | 2378786 |
| WILLS-ZAPATA, TRACY CECILE | DIRECTOR | 2601580 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 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.
