Corey A. Printup
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.
Corey A Printup was a registered financial professional .
Corey is a previously registered financial professional and started their career in finance in 2016. Corey had worked at 1 firm and has passed the 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
September 21, 2016 - October 12, 2017
RLJ CAPITAL MARKETS, 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
Current Firm
RLJ CAPITAL MARKETS, LLC
CRD#: 281119 / SEC#: , 8-69664
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RLJ CAPITAL MARKETS HOLDINGS, LLC | OWNER | |
| CR FINANCIAL HOLDINGS, INC. | OWNER | |
| BENDER, STEVEN CHRISTOPHER | GSP | 2650187 |
| BENDER, STEVEN CHRISTOPHER | RESEARCH PRINCIPAL | 2650187 |
| BENDER, STEVEN CHRISTOPHER | FINOP | 2650187 |
| ROTH, BYRON CLARENCE | BOARD OF MANAGERS MEMBER | 1768553 |
| ROTH, THEODORE DAVID | BOARD OF MANAGERS MEMBER | 4615931 |
| THOMAS, ERNITA FRAZIER | EXECUTIVE REPRESENTATIVE, MANAGING DIRECTOR | 2257919 |
| THOMAS, ERNITA FRAZIER | CEO | 2257919 |
| THOMAS, ERNITA FRAZIER | CHIEF COMPLIANCE OFFICER | 2257919 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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