Tristan L. Cheal
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.
Tristan Lawrence Cheal was a registered financial professional .
Tristan is a previously registered financial professional and started their career in finance in 2012. Tristan had worked at 4 firms and has passed the Series 27 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 30, 2016 - June 30, 2017
MAINSPRING CAPITAL MANAGEMENT, LLC
October 2, 2014 - February 9, 2016
MARATHON CAPITAL MARKETS, LLC
February 8, 2013 - September 19, 2014
APEX CLEARING CORPORATION
September 11, 2012 - May 22, 2013
OPTIONSHOUSE1, 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
MAINSPRING CAPITAL MANAGEMENT, LLC
CRD#: 168756 / SEC#: , 8-69326
Contact information
FINRA licenses (4 States and Territories)
Documents
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.
