Christopher A. Fernan
Professional summary
Christopher Anthony Fernan was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Christopher is a previously registered financial advisor and started their career in finance in 2011. Prior to being barred, Christopher had worked at 5 firms, which includes SW FINANCIAL, ROCKWELL GLOBAL CAPITAL LLC, FREEDOM INVESTORS CORP., GLOBAL ARENA CAPITAL CORP, WELLS FARGO CLEARING SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 8, 2015 - February 17, 2017
SW FINANCIAL
June 23, 2014 - November 30, 2015
ROCKWELL GLOBAL CAPITAL LLC
October 16, 2013 - June 23, 2014
FREEDOM INVESTORS CORP.
April 22, 2013 - June 23, 2014
FREEDOM INVESTORS CORP.
February 17, 2012 - April 19, 2013
GLOBAL ARENA CAPITAL CORP
June 20, 2011 - September 28, 2011
WELLS FARGO CLEARING SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SW FINANCIAL
CRD#: 145012 / SEC#: , 8-67688
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 7 |
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