Christopher R. Fesler
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 Ray Fesler was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2017. Christopher had worked at 2 firms and has passed the Series 99TO, Series 7TO, SIE, Series 7 and Series 99 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 22, 2021 - August 25, 2022
BRUCE MARKETS LLC
August 31, 2017 - July 8, 2019
APEX CLEARING CORPORATION
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent Firm
BRUCE MARKETS LLC
CRD#: 300209 / SEC#: , 8-70286
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRUCE MARKETS HOLDINGS LLC | MANAGING MEMBER | |
| D'AUGE, RALPH ANTHONY | FINOP/PRINCIPAL FINANCIAL OFFICER | 4664611 |
| INGLOT, KATARZYNA | CHIEF COMPLIANCE OFFICER | 4902558 |
| LISH, MICHAEL K | CHIEF OPERATING OFFICER, PRINCIPAL OPERATIONS OFFICER | 4539941 |
| RUHANA, GEORGE WILLIAM | EXECUTIVE CHAIR - BOARD OF DIRECTORS, BRUCE MARKETS HOLDINGS LLC. | 5517069 |
| WALLACH, JASON | CHIEF EXECUTIVE OFFICER | 4918286 |
Red Flags
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