Christopher L. Nolen
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 Lanning Nolen, who also goes by Chris Lanning Nolen, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2004. Christopher had worked at 4 firms and has passed the Series 66, Series 63 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
January 21, 2011 - March 13, 2012
CAPITAL RESOURCE FINANCIAL SERVICES, L.L.C.
January 4, 2006 - February 24, 2009
NEUBERGER BERMAN BD LLC
August 8, 2005 - February 24, 2009
NEUBERGER BERMAN BD LLC
December 8, 2004 - July 28, 2005
CITIGROUP GLOBAL MARKETS INC.
October 4, 2004 - October 25, 2004
EASTBROOK CAPITAL GROUP 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
CAPITAL RESOURCE FINANCIAL SERVICES, L.L.C.
CRD#: 44054 / SEC#: , 8-50520
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 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.
