Individual Firm
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Christopher Ludvik Semrod
CHRISTOPHER L SEMROD, CHRISTOPHER LUDVIK SEMROD
CRD#: 2682885
IA
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SEMROD CAPITAL LLCCRD#: 300011 DENVER, CO
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9/16/2020
Regulatory
Final
State Registrations
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Colorado 3/12/2019
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/22/2016 - 02/01/2019 | Denver, CO | |
B | 10/24/2016 - 12/22/2016 | CASTLE ROCK, CO | |
IA | 11/13/2015 - 12/21/2015 | DENVER, CO | |
B | 11/13/2015 - 12/21/2015 | DENVER, CO | |
IA | 09/14/2011 - 06/10/2015 | SANTA FE, NM | |
B | 07/19/2011 - 06/10/2015 | SANTA FE, NM | |
B | 05/28/2009 - 09/09/2009 | SAN FRANCISCO, CA | |
IA | 01/17/2008 - 12/31/2008 | MILL VALLEY, CA | |
IA | 01/01/2006 - 12/31/2007 | MILL VALLEY, CA | |
B | 11/22/1996 - 04/08/2005 | NEW YORK, NY |
CASTLE ROCK, CO
10/24/2016 - 12/22/2016
MILL VALLEY, CA
01/17/2008 - 12/31/2008
MILL VALLEY, CA
01/01/2006 - 12/31/2007
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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.
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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.
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