Christopher Richez
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 Richez, who also goes by Chris Richez, Christopher Raymond Richez, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2006. Christopher had worked at 6 firms and has passed the Series 63, Series 57TO, SIE, 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
March 1, 2019 - March 15, 2024
SEAPORT GLOBAL SECURITIES LLC
June 6, 2017 - July 5, 2018
DEUTSCHE BANK SECURITIES INC.
May 21, 2014 - June 5, 2017
CREDIT AGRICOLE SECURITIES (USA) INC.
June 1, 2009 - May 21, 2014
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
January 1, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 8/10/2006
Limited Representative-Equity Trader ExamCurrent Firm
SEAPORT GLOBAL SECURITIES LLC
CRD#: 116270 / SEC#: , 8-53535
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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