Peggy A. Chastain
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.
Peggy A Chastain, who also goes by Peggy Sue Arrington, Peggy Sue Chastain, was a registered financial professional .
Peggy is a previously registered financial professional and started their career in finance in 1985. Peggy had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 27 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
December 6, 2011 - October 18, 2016
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
May 7, 2009 - April 7, 2010
FIDELITY BROKERAGE SERVICES LLC
January 1, 2008 - October 7, 2008
FIDELITY BROKERAGE SERVICES LLC
February 21, 2007 - January 1, 2008
FIDELITY DISTRIBUTORS COMPANY LLC
March 4, 2005 - February 22, 2007
FIDELITY BROKERAGE SERVICES LLC
August 15, 1996 - April 8, 2003
CHARLES SCHWAB & CO., INC.
October 4, 1994 - August 8, 1996
ESSEX NATIONAL SECURITIES, LLC
April 17, 1991 - September 20, 1994
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
October 23, 1985 - December 31, 1990
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
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
Current Firm
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
CRD#: 487 / SEC#: , 8-395
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLS FARGO BANK, N.A. | MEMBER | |
| CLEWS, KENNETH JAMES | FINOP/PRINCIPAL FINANCIAL OFFICER | 4155852 |
| GALLO, NICOLE ELISE | CHIEF COMPLIANCE OFFICER | 4915541 |
| NICOLOSI, SEAN MICHAEL | PRINCIPAL OPERATIONS OFFICER, DIRECTOR | 4082275 |
| TABACK, ADAM IRA | PRESIDENT / DIRECTOR | 2378786 |
| WILLS-ZAPATA, TRACY CECILE | DIRECTOR | 2601580 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
