Chad L. Conner
Professional summary
Chad Loren Conner was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Chad is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Chad had worked at 3 firms, which includes MORGAN KEEGAN & COMPANY LLC, IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 30, 1995 - April 4, 2001
MORGAN KEEGAN & COMPANY, LLC
November 10, 1993 - June 5, 1995
IDS LIFE INSURANCE COMPANY
November 10, 1993 - June 5, 1995
AMERIPRISE FINANCIAL SERVICES, LLC
November 23, 1992 - January 11, 1993
IDS LIFE INSURANCE COMPANY
November 23, 1992 - January 11, 1993
AMERIPRISE FINANCIAL 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
MORGAN KEEGAN & COMPANY, LLC
CRD#: 4161 / SEC#: 801-19665, 8-15001
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | PARENT | |
| BARKLEY, JOSEPH CLARENCE | OPERATIONS MANAGER - MANAGING DIRECTOR | 1373033 |
| BEAUPREZ, JACQUELINE ANN | CHIEF COMPLIANCE OFFICER / BROKER DEALER | 4075012 |
| CARSON, JOHN CONGLETON JR | CEO | 1307784 |
| FRANZ, RICHARD BONAFIELD II | CHIEF FINANCIAL OFFICER & TREASURER | 1402348 |
| MATECKI, PAUL LOUIS | GENERAL COUNSEL | 1173122 |
Disclosures
| Regulatory Event | 86 |
| Civil Event | 9 |
| Arbitration | 173 |
Red Flags
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