Christopher D. Wittenborn
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 David Wittenborn, who also goes by Chris David Wittenborn, 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, Series 7TO, Series 52TO, Series 99TO, Series 86, Series 87, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 26, 2018 - March 31, 2021
SECURITIZE MARKETS, LLC
January 18, 2011 - March 27, 2017
LEERINK PARTNERS LLC
February 25, 2009 - January 14, 2011
WM SMITH & CO.
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 7TO
Date: 3/25/2024
General Securities Representative ExaminationSeries 52TO
Date: 3/25/2024
Municipal Securities Representative ExaminationSeries 99TO
Date: 3/25/2024
Operations Professional ExaminationSeries 57TO
Date: 3/25/2024
Securities Trader ExamSeries 55
Date: 3/24/2010
Limited Representative-Equity Trader ExamCurrent Firm
SECURITIZE MARKETS, LLC
CRD#: 283256 / SEC#: , 8-69743
Contact information
FINRA licenses (53 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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