Individual Firm
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Christopher Anthony Chavez
Christopher A Chavez, Christopher Chavez
CRD#: 6373515
IA
B
CHARLES SCHWAB & CO., INC.CRD#: 5393 2442 Louisiana Blvd NE
Albuquerque, NM 87110
Albuquerque, NM 87110
0
Disclosures
10
Years of Experience
View By:
State Registrations
B
Alaska 9/19/2024
B
New Mexico 11/8/2021
B
California 6/25/2024
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New Mexico 11/9/2021
B
Colorado 6/25/2024
B
Oregon 6/25/2024
B
Hawaii 6/25/2024
B
South Dakota 6/25/2024
B
Illinois 3/26/2024
B
Utah 6/25/2024
B
Minnesota 6/25/2024
B
Wisconsin 9/19/2024
SRO Registrations
B
B
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IA
Registered with this firm since 11/9/2021
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Registered with this firm since 11/8/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/29/2020 - 10/26/2021 | ALBUQUERQUE, NM | |
B | 10/28/2020 - 10/26/2021 | ALBUQUERQUE, NM | |
B | 10/03/2014 - 10/07/2020 | ALBUQUERQUE, NM | |
IA | 07/13/2018 - 11/09/2018 | BOSTON, MA | |
IA | 01/04/2017 - 07/13/2018 | ALBUQUERQUE, NM |
ALBUQUERQUE, NM
10/29/2020 - 10/26/2021
ALBUQUERQUE, NM
10/28/2020 - 10/26/2021
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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.