Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Christopher? Claim Your ProfileChristopher Caldwell is a financial professional with over 15 years of experience in the securities industry. Christopher has a broad range of experience in the industry having worked for firms like Optionshouse, ABN AMRO Clearing Chicago, and GVR Company. Christopher is currently registered with Cumberland Securities LLC and DRW Securities, LLC. Christopher holds a variety of licenses including Series 4, 6, 7, 14, 24, 57TO, 63, 65, and 99TO.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
1
2
IL
11/05/2019 - Present
Cumberland Securities LLC (CHICAGO IL)
IL
01/21/2015 - 06/12/2015
OPTIONSHOUSE (CHICAGO IL)
IL
04/05/2012 - 01/21/2015
OPTIONSHOUSE, LLC (CHICAGO IL)
IL
08/30/2010 - 04/09/2012
ABN AMRO CLEARING CHICAGO LLC (CHICAGO IL)
IL
01/14/2002 - 11/13/2003
GVR COMPANY LLC (CHICAGO IL)
NJ
06/26/2000 - 10/10/2000
PRUCO SECURITIES CORPORATION (NEWARK NJ)
BC
Issued 04/25/2016
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 09/08/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 03/31/2014
Series 24 - General Securities Principal Examination
BC
Issued 05/28/2013
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/20/2002
Series 7 - General Securities Representative Examination
BC
Issued 06/22/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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