Stephen M. Mazurek
Professional summary
Stephen Michael Mazurek JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Stephen is a previously registered financial advisor and started their career in finance in 1990. Prior to being barred, Stephen had worked at 10 firms, which includes CHASE INVESTMENT SERVICES CORP., KEYBANC CAPITAL MARKETS INC., BANC ONE SECURITIES CORPORATION, NATCITY INVESTMENTS INC., NATCITY INSURANCE SERVICES INC., VOYA FINANCIAL ADVISORS INC., APOGEE FINANCIAL GROUP, THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES, EQUITABLE ADVISORS LLC, MARINER FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 26, 2008 - March 10, 2010
CHASE INVESTMENT SERVICES CORP.
May 16, 2008 - March 10, 2010
CHASE INVESTMENT SERVICES CORP.
November 2, 2004 - February 15, 2007
KEYBANC CAPITAL MARKETS INC.
November 2, 2004 - February 15, 2007
KEYBANC CAPITAL MARKETS INC.
May 8, 2002 - November 5, 2004
BANC ONE SECURITIES CORPORATION
October 25, 2001 - November 5, 2004
BANC ONE SECURITIES CORPORATION
August 17, 1998 - August 16, 2001
NATCITY INVESTMENTS, INC.
May 17, 1994 - August 16, 2001
NATCITY INSURANCE SERVICES, INC.
November 5, 1993 - May 19, 1994
VOYA FINANCIAL ADVISORS, INC.
May 4, 1993 - December 16, 1993
APOGEE FINANCIAL GROUP
July 8, 1991 - April 30, 1993
VOYA FINANCIAL ADVISORS, INC.
September 28, 1990 - January 24, 1991
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
September 28, 1990 - January 24, 1991
EQUITABLE ADVISORS, LLC
May 2, 1990 - October 11, 1990
MARINER FINANCIAL SERVICES, 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
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
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