Jean Pierre J. Chaze
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.
Jean Pierre Joseph Chaze, who also goes by Jean Pierre Chaze, Jean Pierre Joseph Chaze, Jeanpierre Joseph Chaze, Jp Chaze, was a registered financial professional .
Jean Pierre is a previously registered financial professional and started their career in finance in 1987. Jean Pierre had worked at 5 firms and has passed the Series 63, SIE 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
January 30, 2019 - December 31, 2020
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 19, 2018 - December 31, 2020
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 2, 2000 - December 31, 2003
AMERICAN GENERAL SECURITIES INCORPORATED
January 2, 1997 - July 23, 1998
AMERITAS INVESTMENT COMPANY, LLC
April 8, 1994 - January 16, 1997
VOYA FINANCIAL PARTNERS, LLC
June 30, 1987 - February 7, 1994
PRUCO SECURITIES, 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
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 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.
