Stephen B. Chase
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.
Stephen Bartlett Chase was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1996. Stephen had worked at 6 firms and has passed the Series 63, Series 22TO, SIE, Series 7 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 22, 2021 - April 6, 2026
BLUE VISTA CAPITAL, LLC
January 31, 2008 - April 9, 2014
LAZARD FRERES & CO. LLC
January 14, 2008 - January 28, 2008
OPPENHEIMER & CO. INC.
May 14, 1998 - January 14, 2008
CIBC WORLD MARKETS CORP.
March 2, 1998 - April 14, 1998
RBC CAPITAL MARKETS, LLC
August 29, 1996 - March 2, 1998
DAIN RAUSCHER INCORPORATED
Primary Firm SEC Registration
BLUE VISTA CAPITAL, LLC
CRD#: 127001 / SEC#: 801-74382, 8-65941
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
Series 22TO
Date: 4/21/2021
Direct Participation Programs Representative ExaminationCurrent Firm
BLUE VISTA CAPITAL, LLC
CRD#: 127001 / SEC#: 801-74382, 8-65941
Contact information
SEC notice filing (1 States and Territories)
FINRA licenses (14 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PETER STELIAN REVOCABLE TRUST, DATED MARCH 19, 1998 | OWNER | |
| ROBERT G. BYRON REVOCABLE TRUST, DATED MARCH 20, 1998 | OWNER | |
| BYRON, ROBERT GORDON | MANAGING PRINCIPAL | 1360739 |
| STELIAN, PETER | MANAGING PRINCIPAL, CEO AND CCO |
Regulatory assets under management
| Total Number of Accounts | 21 |
| AUM (Assets Under Management) | $ 1,640,657,327 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/26/2025 | ||
| 12/20/2024 | ||
| 04/24/2024 | ||
| 03/11/2024 | ||
| 03/29/2023 |
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.
