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CD

Christopher C. Dewey

CEROS FINANCIAL SERVICES
KEY LARGO, FL
Some features on this profile are disabled
CRD#: 603620
CD

Professional summary

Christopher Claiborne Dewey, who also goes by Christopher C Dewey, is a registered financial professional currently at CEROS FINANCIAL SERVICES, INC. located in Key Largo, Florida.

Christopher is registered as a RR (Registered Representative) and started their career in finance in 1980. Christopher has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Christopher C Dewey

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Christopher Claiborne Dewey's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

June 7, 2019 - Present

CEROS FINANCIAL SERVICES, INC.

BD
CRD#: 37869
KEY LARGO, FL
Past

August 17, 2018 - December 7, 2018

A.G.P. / ALLIANCE GLOBAL PARTNERS

BD
CRD#: 8361
Miami, FL
Past

May 22, 2013 - July 5, 2016

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
NEW YORK, NY
Past

January 16, 2007 - April 26, 2011

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
NEW YORK, NY
Past

June 18, 2001 - November 1, 2004

BONDS DIRECT SECURITIES LLC

BD
CRD#: 112297
NEW YORK, NY
Past

May 2, 1994 - January 8, 2007

JEFFERIES LLC

BD
CRD#: 2347
SHORT HILLS, NJ
Past

May 20, 1992 - May 3, 1994

MERRION SECURITIES, LLC

BD
CRD#: 30145
CRANFORD, NJ
Past

October 26, 1990 - June 8, 1992

SCULLY BROTHERS & FOSS

BD
CRD#: 22577
Past

February 6, 1980 - September 4, 1990

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(7/31/2019)
RR
Connecticut
(9/5/2019)
RR
Florida
(7/10/2019)
RR
Hawaii
(9/5/2019)
RR
Maryland
(6/11/2019)
RR
New Jersey
(7/15/2019)
RR
Washington
(7/25/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 8/12/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/18/1979
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/27/2001
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

CF
CEROS FINANCIAL SERVICES, INC.
ASSET MANAGEMENT SERVICES | FORTE CAPITAL GROUP | CEROS FINANCIAL SERVICES, INC. | CEROS FINANCIAL ADVISORS | CEROS CAPITAL MARKETS | CEROS BROKER SERVICE, INC. | ATLANTIC PARTNERS

CRD#: 37869 / SEC#: , 8-47955

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
1445 Research Boulevard Suite 530, Rockville, MD 20850
Mailing Address
1445 Research Boulevard Suite 530, Rockville, MD 20850
Phone number
(866) 842-3356
Established
Massachusetts since 09/30/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DGB HOLDINGS, LLCOWNER
AYERS-RIGSBY, MARY CATHERINEPRESIDENT830349
GOLDWASSER, MARK HARRYCEO1334008
GREENE, JON CHRISTOPHERROSFP3202524
HOLLAND, ANGELA LYNNETTECHIEF COMPLIANCE OFFICER3166586
POWELL, KIM ULMANCHIEF FINANCIAL OFFICER6244231
WILSON, DANIELAMLCO6763074

Disclosures

Regulatory Event4

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.

Company Information

CEROS FINANCIAL SERVICES, INC.

CRD#: 37869 Key Largo, FL

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