SC
Stephen R. Chronert
CITIZENS JMP SECURITIES
Stamford, CT 06901
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CRD#: 1184148
SC
Professional summary
Stephen Robert Chronert is a registered financial professional currently at CITIZENS JMP SECURITIES, LLC located in Stamford, Connecticut.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1983. Stephen has worked at 10 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 9, Series 10, Series 8 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Stephen Robert Chronert's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 1, 2023 - Present
CITIZENS JMP SECURITIES, LLC
Office #1: 600 Washington Blvd.,, Stamford, CT 06901Office #2: 4250 Congress Street Suite 300, Charlotte, NC 28209BD
CRD#: 22208
Stamford, CT
Past
October 11, 2018 - August 1, 2023
CITIZENS CAPITAL MARKETS
BD
CRD#: 277073
STAMFORD, CT
Past
April 7, 2015 - May 17, 2018
MIZUHO SECURITIES USA LLC
BD
CRD#: 19647
NEW YORK, NY
Past
April 1, 2013 - April 10, 2015
NATWEST MARKETS SECURITIES INC.
BD
CRD#: 11707
STAMFORD, CT
Past
March 22, 1999 - August 9, 2012
UBS SECURITIES LLC
BD
CRD#: 7654
STAMFORD, CT
Past
October 1, 1997 - March 17, 1999
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
NEW YORK, NY
Past
April 15, 1997 - October 1, 1997
MONTGOMERY SECURITIES
BD
CRD#: 4357
SAN FRANCISCO, CA
Past
May 2, 1996 - April 22, 1997
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
NEW YORK, NY
Past
March 20, 1990 - March 19, 1996
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
November 4, 1989 - March 5, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
BD
CRD#: 7323
Past
August 27, 1987 - August 22, 1989
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
Past
June 28, 1986 - August 22, 1989
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
September 22, 1983 - September 10, 1985
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(8/1/2023)
RR
Alaska(8/1/2023)
RR
Arizona(8/1/2023)
RR
Arkansas(8/1/2023)
RR
California(8/1/2023)
RR
Colorado(8/1/2023)
RR
Connecticut(8/1/2023)
RR
Delaware(8/1/2023)
RR
District of Columbia(8/1/2023)
RR
Florida(8/1/2023)
RR
Georgia(8/1/2023)
RR
Hawaii(8/1/2023)
RR
Idaho(8/1/2023)
RR
Illinois(8/1/2023)
RR
Indiana(8/1/2023)
RR
Iowa(8/1/2023)
RR
Kansas(8/1/2023)
RR
Kentucky(8/1/2023)
RR
Louisiana(8/1/2023)
RR
Maine(8/1/2023)
RR
Maryland(8/1/2023)
RR
Massachusetts(8/1/2023)
RR
Michigan(8/1/2023)
RR
Minnesota(8/1/2023)
RR
Mississippi(8/1/2023)
RR
Missouri(8/1/2023)
RR
Montana(8/1/2023)
RR
Nebraska(8/1/2023)
RR
Nevada(8/1/2023)
RR
New Hampshire(8/1/2023)
RR
New Jersey(8/1/2023)
RR
New Mexico(8/1/2023)
RR
New York(8/1/2023)
RR
North Carolina(8/1/2023)
RR
North Dakota(8/1/2023)
RR
Ohio(8/1/2023)
RR
Oklahoma(8/1/2023)
RR
Oregon(8/1/2023)
RR
Pennsylvania(8/1/2023)
RR
Rhode Island(8/1/2023)
RR
South Carolina(8/1/2023)
RR
South Dakota(8/1/2023)
RR
Tennessee(8/1/2023)
RR
Texas(8/1/2023)
RR
Utah(8/1/2023)
RR
Vermont(8/1/2023)
RR
Virginia(8/1/2023)
RR
Washington(8/1/2023)
RR
West Virginia(8/1/2023)
RR
Wisconsin(8/1/2023)
RR
Wyoming(8/1/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 11/6/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CJ
CITIZENS JMP SECURITIES, LLC
CITIZENS | TRINITY CAPITAL | MITCHUM, JONES & TEMPLETON, INC. | JOLSON MERCHANT PARTNERS | JMP SECURITIES LLC | JMP SECURITIES | DH CAPITAL | CITIZENS M&A ADVISORY | CITIZENS JMP SECURITIES, LLC | CITIZENS JMP | CITIZENS CAPITAL MARKETS & ADVISORY | CITIZENS CAPITAL MARKETS
CRD#: 22208 / SEC#: , 8-39613
BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information
Main Address
101 California Street Ste 1700, San Francisco, CA 94111
Mailing Address
101 California Street Ste 1700, San Francisco, CA 94111
Phone number
(415) 835-8900
Established
Delaware since 01/01/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JMP HOLDING LLC | PARENT COMPANY | |
| CONROY, WALTER IVOR | GENERAL COUNSEL | 6641487 |
| GREGORY, JOHN | PRESIDENT | 4600619 |
| JACKSON, RAYMOND SIVA | CHIEF FINANCIAL OFFICER | 5563363 |
| MANNING, SIMON STONE | SENIOR REGISTERED OPTIONS PRINCIPAL (SROP) | 1941279 |
| MCLAUGHLIN, BRENDAN | CHIEF COMPLIANCE OFFICER | 2562815 |
| O'DAY, JAMES CORTLAND | HEAD OF EQUITIES | 5618215 |
| SLADER, GAVIN WILLEY | HEAD OF INVESTMENT BANKING | 4130019 |
| SPURR, JEFFREY HOLMES | HEAD OF RESEARCH | 1384716 |
| SUCHY, GREGORY JOHN | CHIEF OPERATING OFFICER / PRINCIPAL OPERATIONS OFFICER | 5907019 |
| WHITEHEAD, AIDAN PETER | HEAD OF TRADING & SALES TRADING | 2474257 |
| XIAO, ZHUO VIVIAN XUAN | FINOP | 5121578 |
Disclosures
| Regulatory Event | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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