Sylvia B. Chester
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.
Sylvia B Chester, who also goes by Sylvia Brunhild Chester, Sylvia Brunhild Furrow, was a registered financial professional .
Sylvia is a previously registered financial professional and started their career in finance in 1987. Sylvia had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 23, Series 51 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 5, 2008 - March 8, 2018
SCOTTRADE, INC.
April 29, 2005 - September 20, 2007
VALIC FINANCIAL ADVISORS, INC.
April 29, 2005 - September 20, 2007
VALIC FINANCIAL ADVISORS, INC.
January 8, 1991 - August 16, 2004
CHARLES SCHWAB & CO., INC.
January 1, 1991 - August 16, 2004
CHARLES SCHWAB & CO., INC.
June 22, 1990 - December 7, 1990
KOBER FINANCIAL CORP.
June 7, 1990 - June 27, 1990
HORIZONS INTERNATIONAL CORPORATION
March 15, 1989 - April 9, 1990
TRADESTAR INVESTMENTS,INC.
December 1, 1988 - February 21, 1989
FIRST INTERSTATE DISCOUNT BROKERAGE
October 7, 1987 - January 2, 1989
FIRST INTERSTATE BROKERAGE OF TEXAS, 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
Series 8
Date: 5/27/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SCOTTRADE, INC.
CRD#: 8206 / SEC#: , 8-24760
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TD AMERITRADE ONLINE HOLDINGS CORP. | OWNER | |
| BOUDROT, SUSAN M | CHIEF COMPLIANCE OFFICER | 2472538 |
| BOYLE, STEPHEN JOHN | CHIEF FINANCIAL OFFICER | 6501238 |
| DESILVA, PETER JAMES | PRESIDENT, DIRECTOR | 1740057 |
| KIMM, DAVID ROBERT | CHIEF RISK OFFICER | 722941 |
| NALLY, THOMAS ANDREW | EVP, INSTITUTIONAL SERVICES | 2479301 |
| QUIRK, STEVEN MARK | SVP, TRADER GROUP | 2728768 |
| RICKETTS, JUDITH K | VP, MD OPERATIONS | 2758924 |
| YATES, WILLIAM THOMAS | TREASURER, FINOP | 2749545 |
Disclosures
| Regulatory Event | 51 |
| Arbitration | 33 |
| Bond | 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.
