Chalmers P. Valentine
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.
Chalmers Peyton Valentine, who also goes by Kathryn Chalmers, Kathryn Chalmers Peyt, Kathryn Chalmers Peyton, was a registered financial professional .
Chalmers is a previously registered financial professional and started their career in finance in 1987. Chalmers had worked at 13 firms and has passed the Series 63, SIE, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 17, 2020 - November 24, 2020
SECURITIES AMERICA, INC.
October 25, 2016 - July 17, 2020
INVESTACORP, INC.
January 26, 2011 - May 7, 2013
SUNBELT SECURITIES, INC.
March 26, 2010 - November 29, 2010
EVOLVE INVESTMENT ADVISORS
July 30, 2007 - December 31, 2010
EVOLVE SECURITIES, INC.
July 23, 2007 - December 31, 2010
EVOLVE SECURITIES, INC.
June 11, 2004 - July 23, 2007
RESOURCE HORIZONS GROUP LLC
March 8, 2001 - July 23, 2007
RESOURCE HORIZONS GROUP LLC
February 19, 1999 - March 13, 2001
CENTENNIAL CAPITAL MANAGEMENT, INC.
March 12, 1993 - December 31, 1994
CADARET, GRANT & CO., INC.
November 20, 1991 - September 11, 1998
CANADA LIFE OF AMERICA FINANCIAL SERVICES, INC.
January 8, 1991 - October 2, 1991
CETERA WEALTH SERVICES, LLC
August 31, 1989 - December 19, 1990
SUNAMERICA SECURITIES, INC.
November 5, 1987 - June 20, 1989
INVEST FINANCIAL CORPORATION
February 26, 1987 - October 28, 1987
NBC CAPITAL MARKETS GROUP, 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
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
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.
