Christopher R. Corcoran
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 Richard Corcoran, who also goes by Christopher Richards Corcoran, Corky Corcoran, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1978. Christopher had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 2012 - November 16, 2015
NW CAPITAL MARKETS INC.
September 9, 2004 - January 30, 2012
PNC CAPITAL MARKETS LLC
April 30, 1990 - December 18, 2001
PNC CAPITAL MARKETS LLC
December 17, 1987 - May 8, 1990
FIRST CLEARING, LLC
September 24, 1986 - November 24, 1987
INVESCO CAPITAL MARKETS, INC.
May 10, 1978 - May 17, 1983
KIDDER, PEABODY & CO. INCORPORATED
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
NW CAPITAL MARKETS INC.
CRD#: 17622 / SEC#: , 8-35363
Contact information
FINRA licenses (12 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
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.
