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CX

Cristen Xhama

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CRD#: 6098350
CX

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.

Cristen Xhama, who also goes by Cristen L Zimmerman, Cristen Zimmerman, was a registered financial professional .

Cristen is a previously registered financial professional and started their career in finance in 2012. Cristen had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Cristen L Zimmerman | Cristen Zimmerman

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 22, 2016 - April 1, 2019

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

BD
CRD#: 487
CHARLOTTE, NC
Past

September 4, 2014 - March 22, 2016

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
CHARLOTTE, NC
Past

September 4, 2014 - March 22, 2016

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
CHARLOTTE, NC
Past

October 11, 2012 - August 19, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
CHANDLER, AZ
Past

September 11, 2012 - August 19, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
CHANDLER, AZ

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/9/2012
Uniform Combined 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: 9/10/2012
General Securities Representative Examination

Current Firm

GA
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
ALTERNATIVE STRATEGIES BROKERAGE SERVICES, INC. | KEYSTONE MASSACHUSETTS INC. | KEYSTONE MASSACHUSETTS DISTRIBUTORS INC. | KEYSTONE INVESTMENT DISTRIBUTORS COMPANY | KEYSTONE DISTRIBUTORS, INC. | GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC. | EVERGREEN INVESTMENTS | EVERGREEN INVESTMENT SERVICES, INC.

CRD#: 487 / SEC#: , 8-395

BD
Terminated by SEC on 09/29/2020
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 07/23/1952
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
WELLS FARGO BANK, N.A.MEMBER
CLEWS, KENNETH JAMESFINOP/PRINCIPAL FINANCIAL OFFICER4155852
GALLO, NICOLE ELISECHIEF COMPLIANCE OFFICER4915541
NICOLOSI, SEAN MICHAELPRINCIPAL OPERATIONS OFFICER, DIRECTOR4082275
TABACK, ADAM IRAPRESIDENT / DIRECTOR2378786
WILLS-ZAPATA, TRACY CECILEDIRECTOR2601580

Disclosures

Regulatory Event4
Arbitration1

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

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

CRD#: 487

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