Berna J. Magee
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.
Berna Jane Magee, who also goes by B J Bailey, Berna Jane Bailey, Berna Jane Bate, (bj) Berna Jane Magee, B J Magee, B J Tate, Berna Jane Tate, was a registered financial professional .
Berna is a previously registered financial professional and started their career in finance in 1986. Berna had worked at 10 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 21, 2011 - February 2, 2012
CHASE INVESTMENT SERVICES CORP.
November 16, 2011 - February 2, 2012
CHASE INVESTMENT SERVICES CORP.
June 23, 2010 - June 9, 2011
CHASE INVESTMENT SERVICES CORP.
October 20, 2009 - June 9, 2011
CHASE INVESTMENT SERVICES CORP.
February 20, 2001 - November 21, 2001
INVESTMENT PROFESSIONALS, INC.
August 14, 1998 - June 20, 2000
MML INVESTORS SERVICES, LLC
March 12, 1998 - June 10, 1998
CETERA WEALTH SERVICES, LLC
September 10, 1997 - August 19, 1998
BROADWAY BROKERAGE SERVICES, INC.
June 18, 1997 - September 4, 1997
QUICK & REILLY, INC.
February 20, 1996 - August 5, 1997
TD AMERITRADE, INC.
February 5, 1994 - January 1, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 12, 1993 - December 15, 1993
CETERA INVESTMENT SERVICES LLC
May 31, 1990 - December 14, 1991
ARAGON FINANCIAL SERVICES, INC.
July 18, 1988 - September 26, 1989
CETERA INVESTMENT SERVICES LLC
November 21, 1986 - September 26, 1989
CETERA INVESTMENT SERVICES LLC
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
CHASE INVESTMENT SERVICES CORP.
CRD#: 25574 / SEC#: 801-36407, 8-41840
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BANC ONE CAPITAL HOLDINGS LLC | DIRECT OWNER | |
| ADITYA, MAHESH CHATTA | BOARD MEMBER | 5586574 |
| CHABOT, ALAN JAMES | PRESIDENT & CEO, BOARD MEMBER | 2617874 |
| DAVIS, JAMES HUBER | CHIEF OPERATIONS OFFICER | 4166100 |
| DEEGAN, DANIEL ROBERT | EXECUTIVE VICE PRESIDENT | 1143339 |
| DURKEE, JEFFREY WILLIS | EXECUTIVE VICE PRESIDENT | 1009266 |
| GINDI, SOL | CFO, BOARD MEMBER | 4903526 |
| GRAY, ANNE LOUISE | SENIOR VICE PRESIDENT | 1779722 |
| HAIGIS, PHILIP HOWARD JR. | EXECUTIVE VICE PRESIDENT | 4340276 |
| JULIAN, BETH WILSON | EXECUTIVE VICE PRESIDENT | 1071047 |
| KLEINBAUM, GREGG ADAM | EXECUTIVE VICE PRESIDENT | 2555215 |
| MARTIN, KEVIN LEE | EXECUTIVE VICE PRESIDENT | 2742022 |
| PANTALEO, LAURA ANN | EXECUTIVE VICE PRESIDENT | 1501065 |
| QUINN, JOHN P | EXECUTIVE VICE PRESIDENT,NATIONAL SALES DIRECTOR | 5631540 |
| REED, JAMIE MATTHEW | EXECUTIVE VICE PRESIDENT | 2797383 |
| SKARDA, JOSEPH BRIEL | EXECUTIVE VICE PRESIDENT | 4288186 |
| TEPPER, ERIC DAVID | EXECUTIVE VICE PRESIDENT | 2242377 |
| WILBURN, DOUGLAS FREDERICK | CHIEF COMPLIANCE OFFICER | 1407686 |
Disclosures
| Regulatory Event | 62 |
| Arbitration | 19 |
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.
