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SD

Shabnam Das

Some features on this profile are disabled
CRD#: 2621453
SD

Professional summary

Shabnam Das was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Shabnam is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Shabnam had worked at 4 firms, which includes CHEVY CHASE FINANCIAL SERVICES, FIRST UNION BROKERAGE SERVICES INC., ESSEX NATIONAL SECURITIES LLC, BOWLES HOLLOWELL CONNER & CO..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bubu Das

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 27, 2002 - February 20, 2004

CHEVY CHASE FINANCIAL SERVICES

BD
CRD#: 14894
BETHESDA, MD
Past

June 19, 2000 - October 16, 2001

CHEVY CHASE FINANCIAL SERVICES

BD
CRD#: 14894
BETHESDA, MD
Past

September 18, 1998 - February 3, 1999

FIRST UNION BROKERAGE SERVICES, INC.

BD
CRD#: 8112
CHARLOTTE, NC
Past

December 10, 1997 - July 16, 1998

ESSEX NATIONAL SECURITIES, LLC

BD
CRD#: 25454
NAPA, CA
Past

August 8, 1995 - July 2, 1996

BOWLES HOLLOWELL CONNER & CO.

BD
CRD#: 17511
CHARLOTTE, NC

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/28/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 8/7/1995
Investment Company Products/Variable Contracts Representative Examination

Current Firm

CC
CHEVY CHASE FINANCIAL SERVICES
CHEVY CHASE FINANCIAL SERVICES | CHEVY CHASE SECURITIES, INC. | CHEVY CHASE FINANCIAL SERVICES CORPORATION

CRD#: 14894 / SEC#: , 8-29332

BD
Terminated by SEC on 07/06/2010
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Contact information

Main Address
Mailing Address
Phone number
Established
Maryland since 01/09/1984
Firm type
Corporation
Fiscal year end
September
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CHEVY CHASE FINANCIAL SERVICES CORPORATIONSHAREHOLDER
DEBLANC, RONALD JOSEPHCHIEF FINANCIAL OFFICER/ FINANCIAL OPERATIONS PRINCIPAL1672968
MUDLAFF, THOMAS JAMESPRESIDENT AND DIRECTOR2359466
MURPHY, MATTHEW JDIRECTOR2309026
ROWAN, SHANNON BARROWGROUP VICE PRESIDENT1752276
TREBLE, TIMOTHYCHIEF COMPLIANCE OFFICER, DIRECTOR OF OPERATIONS1699773

Disclosures

Regulatory Event4

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.

Company Information

CHEVY CHASE FINANCIAL SERVICES

CRD#: 14894

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