Kassaan J. Davis
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.
Kassaan Jamal Davis, who also goes by K. Robert Davis, Kassaan Gregory Davis Jr, Kassaan Jamal Davis Jr, Kassaan Davis, Robert Gregory Davis Jr, Robert Gregory Davis, Robert Davis, was a registered financial professional .
Kassaan is a previously registered financial professional and started their career in finance in 1994. Kassaan had worked at 10 firms and has passed the Series 66, Series 63, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 13, 2012 - September 17, 2012
CHASE INVESTMENT SERVICES CORP.
February 9, 2012 - September 17, 2012
CHASE INVESTMENT SERVICES CORP.
October 28, 2010 - December 23, 2010
KESTRA INVESTMENT SERVICES, LLC
October 8, 2010 - December 23, 2010
KESTRA INVESTMENT SERVICES, LLC
October 15, 2007 - November 4, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 15, 2007 - November 4, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 18, 2005 - September 21, 2007
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
July 29, 2005 - September 21, 2007
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 2, 2003 - June 2, 2005
NYLIFE SECURITIES LLC
June 11, 2001 - April 1, 2002
PRUDENTIAL EQUITY GROUP, LLC
March 11, 1999 - June 21, 2001
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
June 3, 1996 - October 23, 1996
MORGAN STANLEY DW INC.
June 23, 1995 - June 11, 1996
INVESTORS ASSOCIATES, INC.
August 22, 1994 - June 26, 1995
BLUESTONE CAPITAL CORP.
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
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.
