Christopher W. Michael
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 Warren Michael was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2019. Christopher had worked at 1 firm and has passed the Series 63, Series 82TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 14, 2019 - April 17, 2020
BEQUIA SECURITIES, 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
Series 82TO
Date: 9/14/2019
Limited Representative-Private Securities OfferingsCurrent Firm
BEQUIA SECURITIES, LLC
CRD#: 285783 / SEC#: , 8-69860
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BEQUIA CAPITAL, LLC | MEMBER | |
| DORFMAN, ESTEE CARLA | FINOP, CFO | 2696529 |
| SLACHTA, LARA ANN | CEO, CCO, EXEC REP. |
Red Flags
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