Individual Firm
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Christopher Todd Irvin Ph.D.
Chris Irvin, Christopher T. Irvin, Christopher Irvin
CRD#: 1817918
IA
B
WESTERN INTERNATIONAL SECURITIESCRD#: 39262 Petaluma, CA
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1/31/2006
Customer Dispute
Denied
State Registrations
B
Arizona 12/13/2013
B
Oregon 12/13/2013
B
California 11/21/2013
IA
Oregon 1/2/2015
IA
California 1/2/2015
B
Tennessee 12/5/2022
B
Connecticut 12/13/2013
B
Vermont 12/13/2013
B
District of Columbia 12/13/2013
B
Virginia 12/13/2013
B
Michigan 12/13/2013
IA
Virginia 1/7/2015
B
Nevada 12/13/2013
B
Washington 11/21/2013
IA
Nevada 1/15/2015
IA
Washington 6/10/2015
B
New Hampshire 1/4/2022
SRO Registrations
B
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IA
B
Registered with this firm since 11/21/2013
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/14/2014 - 12/31/2014 | PETALUMA, CA | |
B | 12/23/2013 - 02/11/2014 | SANTA ROSA, CA | |
IA | 12/23/2013 - 12/31/2013 | PETALUMA, CA | |
IA | 11/02/2010 - 12/13/2013 | PETALUMA, CA | |
B | 11/01/2010 - 12/13/2013 | SANTA ROSA, CA | |
IA | 08/12/2006 - 11/05/2010 | SANTA ROSA, CA | |
B | 08/12/2006 - 11/05/2010 | SANTA ROSA, CA | |
IA | 09/16/1997 - 08/12/2006 | SONOMA, CA | |
B | 07/03/1996 - 08/12/2006 | SONOMA, CA | |
B | 07/31/1993 - 07/26/1996 | NEW YORK, NY | |
B | 01/02/1990 - 07/31/1993 | NEW YORK, NY | |
B | 04/05/1989 - 09/26/1989 | BOSTON, MA | |
B | 04/07/1988 - 04/04/1989 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.