Claudette Y. Chandler
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.
Claudette Y Chandler, who also goes by Claudette Yates Chandler, Claudette Yates Pearson, Yates, was a registered financial professional .
Claudette is a previously registered financial professional and started their career in finance in 1981. Claudette had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 10, Series 9, Series 24, Series 8 and Series 4 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 10, 2025 - July 7, 2026
THURSTON SPRINGER ADVISORS
October 10, 2025 - July 7, 2026
THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.
July 26, 2021 - October 15, 2025
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
June 17, 2021 - October 15, 2025
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 1, 2008 - June 17, 2021
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - June 17, 2021
WELLS FARGO CLEARING SERVICES, LLC
June 14, 2005 - January 1, 2008
A. G. EDWARDS & SONS, INC.
May 20, 2005 - January 3, 2008
A. G. EDWARDS & SONS, INC.
January 2, 2004 - December 31, 2004
MOMENTUM INDEPENDENT NETWORK INC.
December 16, 2003 - December 31, 2003
MOMENTUM INDEPENDENT NETWORK INC.
November 25, 2003 - May 12, 2005
MOMENTUM INDEPENDENT NETWORK INC.
September 3, 2003 - November 25, 2003
HILLTOP SECURITIES INC.
August 20, 1981 - August 20, 2003
HILLTOP SECURITIES INC.
Primary Firm SEC Registration
THURSTON SPRINGER ADVISORS
CRD#: 299201 / SEC#: 801-114256
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
Series 8
Date: 9/17/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
THURSTON SPRINGER ADVISORS
CRD#: 299201 / SEC#: 801-114256
Contact information
SEC notice filing (41 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,759 |
| AUM (Assets Under Management) | $ 3,675,305,852 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/21/2025 | ||
| 02/28/2024 |
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.
