Christopher W. Allick
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 William Allick was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1977. Christopher had worked at 9 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 2018 - April 9, 2019
B. RILEY SECURITIES, INC.
August 18, 2008 - January 20, 2009
LARKSPUR CAPITAL CORPORATION
August 1, 2006 - December 7, 2006
URCHIN CAPITAL PARTNERS, LLC
June 8, 2006 - July 5, 2006
URCHIN CAPITAL PARTNERS, LLC
August 7, 2001 - July 25, 2006
INSTREAM PARTNERS LLC
July 29, 1998 - May 18, 2000
KEYBANC CAPITAL MARKETS INC.
May 11, 1990 - July 10, 1998
JEFFERIES LLC
March 15, 1989 - March 3, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
March 2, 1979 - July 19, 1990
MORGAN STANLEY DW INC.
October 26, 1977 - September 29, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
Current Firm
B. RILEY SECURITIES, INC.
CRD#: 25027 / SEC#: , 8-41426
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY SECURITIES HOLDINGS, INC. | DIRECT PARENT | |
| BAKER, JAMES RICHARD | CO-CHIEF EXECUTIVE OFFICER | 5834046 |
| INNIS, KATHLEEN GIBBONS | CHIEF COMPLIANCE OFFICER | 2112837 |
| MCCOY, MICHAEL RICHARD | CHIEF FINANCIAL OFFICER | 4743031 |
| MOORE, ANDREW THOMAS | CO-CHIEF EXECUTIVE OFFICER | 4574997 |
| SCHUTT, JANELLE REGINA | CONTROLLER | 2853858 |
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 1 |
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.
