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Christopher Stuart Dearborn

CRD# 4631394·Registered 1999 - 2013
Previously Registered: Being a previously registered professional could mean that Christopher 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.

Professional Summary

Christopher Stuart Dearborn was a registered financial advisor. Christopher was a previously registered financial professional and started their career in finance 1999 - 2013. Christopher had worked at 5 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

27 years in the financial services industry

Current & Past Employments

PPG WEST LLC·CRD# 155059
BD
New York, NY
February 13, 2013 - April 30, 2013
PHOENIX DERIVATIVES GROUP, LLC·CRD# 25802
BD
New York, NY
April 21, 2011 - April 30, 2013
BAY CREST PARTNERS, LLC·CRD# 39944
BD
New York, NY
December 3, 2008 - May 4, 2011
EQUITABLE ADVISORS, LLC·CRD# 6627
BD
Lake Success, NY
November 18, 2008 - December 10, 2008
VAN DER MOOLEN SPECIALISTS USA, LLC·CRD# 32034
BD
New York, NY
August 26, 1999 - October 1, 2007

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Current Firm

PW
PPG WEST LLC

PPG WEST LLC

CRD#: 155059 / SEC#: 8-68691
BD
Terminated by SEC on 09/27/2013

Contact Information

Established

Delaware since 06/15/2010

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
PHOENIX PARTNERS GROUP LPSOLE MEMBER—
BOLTON, JOHN FRANCISCO-CHIEF COMPLIANCE OFFICER5872938
HERSCHITZ, GARY ALLENROSFP5227012
ROCKLEY, PAMELA LOUISECO-CHIEF COMPLIANCE OFFICER1438348
SIPKIN, JOSEPH GARYFINOP, CFO1334813
STEPHAN, NICHOLAS JOHNCEO2936942

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 2009About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Sep 2007About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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