Christopher E. Steed
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 Elliot Steed, who also goes by Chris Steed, Christopher E Steed, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2007. Christopher had worked at 3 firms and has passed the Series 66, Series 79TO, 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
July 19, 2021 - August 18, 2023
HUDSON CAPITAL ADVISORS BD LLC
June 1, 2009 - December 6, 2019
SAGE CANYON ADVISORS, LLC
May 10, 2007 - February 19, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 29, 2007 - February 19, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
HUDSON CAPITAL ADVISORS BD LLC
CRD#: 132424 / SEC#: , 8-66595
Contact information
FINRA licenses (9 States and Territories)
Documents
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.
