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CB

Christian Baez-escobar

RISEVEST FINANCIAL SECURITIES LIMITED
NEW YORK, NY 10007
Some features on this profile are disabled
CRD#: 5505290
CB

Professional summary

Christian Baez-escobar is a registered financial professional currently at RISEVEST FINANCIAL SECURITIES LIMITED located in New York, New York.

Christian is registered as a RR (Registered Representative) and started their career in finance in 2008. Christian has worked at 4 firms and has passed the Series 63, Series 57TO, Series 79TO, Series 52TO, Series 99TO, SIE, Series 55, Series 7, Series 4, Series 53 and Series 24 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 Baez-escobar'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®
None

Experience

Current

October 30, 2018 - Present

RISEVEST FINANCIAL SECURITIES LIMITED

Office #1: 100 Church Street 8th Floor Suite 804, New York, NY, 10007
BD
CRD#: 151120
NEW YORK, NY
Past

May 16, 2017 - August 14, 2017

SPRINKLEBROKERAGE, INC.

BD
CRD#: 285216
SAN DIEGO, CA
Past

March 2, 2015 - July 11, 2016

LIME TRADING CORP

BD
CRD#: 11826
NEW YORK, NY
Past

April 23, 2008 - February 25, 2015

SUCCESS TRADE SECURITIES, INC.

BD
CRD#: 46027
WASHINGTON, DC

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
(10/5/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 7/16/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 8/14/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 7/15/2015
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 4/22/2008
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 6/16/2010
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 2/9/2009
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/9/2008
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

RF
RISEVEST FINANCIAL SECURITIES LIMITED
FBV CAPITAL ADVISORS, INC. | VALCOUR SECURITIES LLC | RISEVEST FINANCIAL SECURITIES LIMITED | MARINUS SECURITIES, LLC | HI2 SECURITIES, INC. | HAITOU SECURITIES, INC.

CRD#: 151120 / SEC#: , 8-68336

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

Main Address
100 Church Street 8th Floor Suite 804, New York, NY, 10007
Mailing Address
100 Church Street 8th Floor Suite 804, New York, NY, 10007
Phone number
(202) 413-1308
Established
Virginia since 04/16/2012
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
RISE VEST TECHNOLOGIES LIMITEDOWNER
BAEZ-ESCOBAR, CHRISTIANPRESIDENT & CHIEF COMPLIANCE OFFICER5505290
CREIGHTON, JOHN MATTHEWFINANCIAL AND OPERATIONS PRINCIPAL1909492
DAYE, WILFRED ZHONGKEIPRINCIPAL4320077

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

RISEVEST FINANCIAL SECURITIES LIMITED

CRD#: 151120New York, NY 10007

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