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CC

Chester L. Chicosky

Some features on this profile are disabled
CRD#: 1575600
CC

Professional summary

Chester Leon Chicosky was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Chester is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Chester had worked at 9 firms, which includes GLEACHER & COMPANY SECURITIES INC., OSCAR GRUSS & SON INCORPORATED, BROOKEHILL CAPITAL PARTNERS LIMITED, GILFORD SECURITIES INCORPORATED, BARINGTON CAPITAL GROUP L.P., ADVEST INC., THE SEIDLER COMPANIES INCORPORATED, NOMURA SECURITIES INTERNATIONAL INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chet Chicosky

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 30, 1999 - November 27, 2000

GLEACHER & COMPANY SECURITIES, INC.

BD
CRD#: 298
NEW YORK, NY
Past

August 2, 1996 - April 19, 1999

OSCAR GRUSS & SON INCORPORATED

BD
CRD#: 2091
NEW YORK, NY
Past

March 9, 1996 - August 6, 1996

BROOKEHILL CAPITAL PARTNERS LIMITED

BD
CRD#: 7966
WESTPORT, CT
Past

June 27, 1994 - March 1, 1996

GILFORD SECURITIES INCORPORATED

BD
CRD#: 8076
NEW YORK, NY
Past

February 9, 1993 - June 30, 1994

BARINGTON CAPITAL GROUP, L.P.

BD
CRD#: 29383
NEW YORK, NY
Past

November 15, 1991 - January 13, 1993

ADVEST, INC.

BD
CRD#: 10
HARTFORD, CT
Past

March 26, 1991 - October 22, 1991

THE SEIDLER COMPANIES INCORPORATED

BD
CRD#: 3911
LOS ANGELES, CA
Past

July 22, 1987 - March 14, 1991

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
NEW YORK, NY
Past

November 18, 1986 - May 14, 1987

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/12/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/15/1986
General Securities Representative Examination

Current Firm

G&
GLEACHER & COMPANY SECURITIES, INC.
BROADPOINT CAPITAL, INC. | GLEACHER & COMPANY SECURITIES, INC. | FIRST ALBANY CORPORATION | FIRST ALBANY CAPITAL INC.

CRD#: 298 / SEC#: , 8-2018

BD
Terminated by SEC on 05/31/2014
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 09/25/1952
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GLEACHER & COMPANY, INC.SHAREHOLDER
ARCIERO-CRAIG, PATRICIA ANNGENERAL COUNSEL/SECRETARY/DIRECTOR
EDMISTON, BRYAN JOSEPHFINOP5743897
EDMISTON, BRYAN JOSEPHCHIEF FINANCIAL OFFICER/DIRECTOR5743897
KWOK, ANNISCHIEF COMPLIANCE OFFICER5822123

Disclosures

Regulatory Event33
Civil Event1
Arbitration10

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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Company Information

GLEACHER & COMPANY SECURITIES, INC.

CRD#: 298

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