Christopher E. Piercy
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 Edward Piercy was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2003. Christopher had worked at 2 firms and has passed the Series 63, Series 65, SIE and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 25, 2014 - October 2, 2014
SB1 CAPITAL MARKETS INC
December 16, 2011 - August 17, 2012
SB1 CAPITAL MARKETS INC
November 3, 2003 - December 31, 2004
ATHERTON ADVISORS
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 62
Date: 10/19/2011
Corporate Securities Limited Representative ExaminationCurrent Firm
SB1 CAPITAL MARKETS INC
CRD#: 154132 / SEC#: , 8-68611
Contact information
FINRA licenses (1 States and Territories)
Documents
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.
