Christopher Clegg
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 Clegg was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2011. Christopher had worked at 3 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 13, 2016 - February 15, 2018
YOSEMITE EXECUTION PARTNERS INC.
July 12, 2012 - October 10, 2014
LAZARD FRERES & CO. LLC
March 9, 2011 - February 27, 2012
CLEAN ENERGY CAPITAL 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
Current Firm
YOSEMITE EXECUTION PARTNERS INC.
CRD#: 165587 / SEC#: , 8-69173
Contact information
FINRA licenses (6 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
