Christopher Bates
Professional summary
Christopher Bates is a registered financial professional currently at MAREX CAPITAL MARKETS INC. located in New York, New York and X-CHANGE FINANCIAL ACCESS, LLC located in Chicago, Illinois.
Christopher is registered as a RR (Registered Representative) and started their career in finance in 2023. Christopher has worked at 4 firms and has passed the Series 99TO, SIE and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Christopher Bates's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 1, 2015 - Present
MAREX CAPITAL MARKETS INC.
Office #1: 140 East 45th Street 10th Floor, New York, NY 10017Office #2: 140 East 45th Street 10th Floor, New York, NY 10017June 23, 2023 - Present
X-CHANGE FINANCIAL ACCESS, LLC
Office #1: 222 W Adams Street Suite 450, Chicago, IL 60606January 18, 2024 - July 8, 2024
OTCEX, LLC
June 29, 2023 - November 13, 2023
MAREX NORTH AMERICA SECURITIES LLC
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCboe C2 Exchange, Inc.
Cboe Exchange, Inc.
FINRA
MIAX Sapphire
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
Current Firm
X-CHANGE FINANCIAL ACCESS, LLC
CRD#: 126201 / SEC#: , 8-65860
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 32 |
Red Flags
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