Christa M. Chavez
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.
Christa Marie Chavez, who also goes by Christa Marie Conway Chavez, Christa Conway, Christa Marie Conwaychavez, was a registered financial professional .
Christa is a previously registered financial professional and started their career in finance in 1993. Christa had worked at 2 firms and has passed the Series 63 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
July 7, 2009 - August 28, 2013
DIVERSIFIED SECURITIES, INCORPORATED
November 25, 1996 - July 23, 2007
DIVERSIFIED SECURITIES, INCORPORATED
April 6, 1993 - November 28, 1995
EMPOWER FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
DIVERSIFIED SECURITIES, INCORPORATED
CRD#: 222 / SEC#: , 8-12676
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DSI FINANCIAL, INC. | PARENT COMPANY | |
| BARRETT, THOMAS JOSEPH | FINOP | 2821759 |
| CALEB, KENNETH ANDRE | CHIEF COMPLIANCE OFFICER | 2031701 |
| CALEB, KENNETH ANDRE | CHIEF OPERATIONS OFFICER, EXECUTIVE VICE PRESIDENT | 2031701 |
| CONWAY, MICHAEL STEVEN | DIRECTOR ACCOUNT SERVICES, SR. VICE PRESIDENT | 3108375 |
| CONWAY, RICHARD PATRICK | PRESIDENT, CHIEF FINANCIAL OFFICER | 1764994 |
| CONWAY, RICHARD PATRICK | CHAIRMAN | 1764994 |
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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