Christopher B. Pascente
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 Brian Pascente, who also goes by Chris Brian Pascente, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1978. Christopher had worked at 22 firms and has passed the Series 7, Series 4 and F04 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2000 - December 19, 2000
CHICAGO INVESTMENT GROUP, LLC
January 12, 2000 - July 21, 2000
EXT ELECTRONIC EXCHANGE TRADING, INC.
February 9, 1998 - January 13, 1999
PEREGRINE FINANCIALS & SECURITIES, INC.
November 18, 1997 - April 6, 1998
GLOBAL INVESTMENT SERVICES, INC.
July 7, 1997 - May 12, 1999
RDG SECURITIES CORPORATION
November 25, 1996 - March 31, 2000
MILLS FINANCIAL SERVICES, INC.
October 10, 1996 - September 24, 1997
PRIMEX
April 13, 1994 - July 6, 1994
LAKESHORE FINANCIAL CORP.
February 21, 1994 - June 23, 1995
C. CHAPPELLET SECURITIES, INC.
April 14, 1993 - October 25, 1996
JOSEPH ROBERTS & CO., INC.
June 25, 1991 - April 15, 1993
REPUBLIC SECURITIES, INC.
March 23, 1990 - February 4, 1999
E*TRADE MARQUETTE SECURITIES, INC.
February 1, 1989 - February 1, 1989
MARC J. LANE & COMPANY
October 18, 1988 - September 22, 1995
DON ALEXANDER INVESTMENTS, INC.
November 9, 1987 - December 24, 1987
U.S. LEAGUE SECURITIES, INC.
September 14, 1987 - October 23, 1987
GENEVA SECURITIES,INC.
April 20, 1987 - July 6, 1990
T.C. DRISCOLL & CO., INC.
November 25, 1981 - August 12, 1985
FRANCIS MANZO & COMPANY, INCORPORATED
September 18, 1979 - September 23, 1981
NODDINGS AND ASSOCIATES, INC.
May 2, 1979 - July 6, 1979
MUNICIPAL BOND CORPORATION
January 29, 1979 - September 2, 1979
DEE SECURITIES
April 19, 1978 - October 24, 1979
PADDEN & COMPANY, INC.
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
F04
Date: 5/20/1977
Financial Principal ExaminationCurrent Firm
CHICAGO INVESTMENT GROUP, LLC
CRD#: 11853 / SEC#: , 8-27507
Contact information
Documents
Disclosures
| Regulatory Event | 16 |
| Arbitration | 2 |
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.
