Samuel L. Chesser
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.
Samuel L Chesser, who also goes by Samuel Lowell Chesser Jr., Samuel Lowell Chesser, was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 1982. Samuel had worked at 6 firms and has passed the Series 66, Series 63, Series 7, Series 45, Series 52, Series 27, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 2011 - January 16, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 24, 2011 - January 16, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 4, 2007 - July 25, 2007
AK CAPITAL, LLC
April 24, 2006 - November 14, 2006
CUTLER GROUP, LLC
March 9, 2001 - December 2, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 26, 2001 - December 2, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 1, 1988 - November 23, 1992
LEE FINANCIAL SECURITIES, INC.
October 20, 1983 - July 19, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 28, 1983 - September 28, 1983
FIRST HONOLULU SECURITIES, INC.
May 25, 1982 - June 3, 1982
EMMETT A LARKIN COMPANY, INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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 45
Date: 1/15/2003
PCX Floor Broker ExamCurrent Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
