Christopher A. Duco
Professional summary
Christopher Alan Duco was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Christopher is a previously registered financial advisor and started their career in finance in 2005. Prior to being barred, Christopher had worked at 4 firms, which includes TD AMERITRADE INC., TD AMERITRADE INVESTMENT MANAGEMENT LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, MORGAN STANLEY DW INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 30, 2007 - July 3, 2008
TD AMERITRADE, INC.
July 30, 2007 - July 3, 2008
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
July 30, 2007 - July 3, 2008
TD AMERITRADE, INC.
April 27, 2006 - March 8, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 4, 2006 - March 8, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 25, 2005 - April 7, 2006
MORGAN STANLEY DW INC.
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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
