Christopher J. Rossi
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 J Rossi was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2009. Christopher had worked at 3 firms and has passed the Series 63, 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
March 24, 2016 - May 15, 2018
PORTFOLIO ADVISORS ALLIANCE, LLC
August 21, 2012 - February 15, 2016
SPARTAN CAPITAL SECURITIES, LLC
May 31, 2012 - August 23, 2012
PORTFOLIO ADVISORS ALLIANCE, LLC
March 30, 2012 - June 25, 2012
AMERICAN CAPITAL PARTNERS, LLC
May 13, 2009 - March 30, 2012
PORTFOLIO ADVISORS ALLIANCE, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PORTFOLIO ADVISORS ALLIANCE, LLC
CRD#: 101680 / SEC#: , 8-52125
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
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