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CN

Christian J. Naclerio

VONTOBEL SECURITIES LTD.
New York, NY 10001
Some features on this profile are disabled
CRD#: 5319527
CN

Professional summary

Christian Joseph Naclerio, CFP® is a registered financial professional currently at VONTOBEL SECURITIES LTD. located in New York, New York.

Christian is registered as a RR (Registered Representative) and started their career in finance in 2007. Christian has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Christian Joseph Naclerio's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Experience

Current

December 16, 2015 - Present

VONTOBEL SECURITIES LTD.

Office #1: 66 Hudson Blvd 34th Floor, Suite 3401, New York, NY 10001
BD
CRD#: 21368
New York, NY
Past

August 22, 2008 - December 21, 2015

TD AMERITRADE, INC.

BD
CRD#: 7870
JERSEY CITY, NJ
Past

April 20, 2007 - June 11, 2008

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
WEST HEMPSTEAD, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(12/16/2015)

Exams

State Security Law Exam
RR
Series 63
Date: 5/4/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/21/2008
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/19/2007
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

VS
VONTOBEL SECURITIES LTD.
VONTOBEL SECURITIES LIMITED | VONTOBEL SECURITIES LTD.

CRD#: 21368 / SEC#: , 8-38977

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
Gotthardstrasse 44, Zurich 8002
Mailing Address
66 Hudson Boulevard 34th Floor, New York, NY 10001
Phone number
1141 58 283 71 11
Established
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
VONTOBEL HOLDING AGOWNER
DUENKI, BEATCHIEF EXECUTIVE OFFICER6041752
GURCZYNSKI, KATHY ANNCCO2201270
SCHUEMPERLI, SUSANNECFO/FINOP5760445

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.

Company Information

VONTOBEL SECURITIES LTD.

CRD#: 21368New York, NY 10001

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