Stephen B. Chase

BLUE VISTA CAPITAL

Chicago, IL 60654-3453

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CRD#: 2769700

Professional summary

Stephen Bartlett Chase is a registered financial professional currently at BLUE VISTA CAPITAL, LLC located in Chicago, Illinois.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 1996. Stephen has worked at 6 firms and has passed the Series 63, Series 22TO, SIE, Series 7 and Series 39 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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) - BD

Click below to view Stephen Bartlett Chase's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

April 22, 2021 - Present

BLUE VISTA CAPITAL, LLC

Office #1: 353 N. Clark St. Suite 730, Chicago, IL 60654-3453

RIA

CRD#: 127001

Chicago, IL

Past

January 31, 2008 - April 9, 2014

LAZARD FRERES & CO. LLC

CRD#: 2528

NEW YORK, NY

Past

January 14, 2008 - January 28, 2008

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

May 14, 1998 - January 14, 2008

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

March 2, 1998 - April 14, 1998

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

August 29, 1996 - March 2, 1998

DAIN RAUSCHER INCORPORATED

CRD#: 7600

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BLUE VISTA CAPITAL, LLC

CRD#: 127001 / SEC#: 801-74382, 8-65941

RIA

Registered Investment Advisory firm - SEC (3/13/2012 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Illinois
(6/24/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 6/24/2021

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 22TO

Date: 4/21/2021

Direct Participation Programs Representative Examination

General Industry/Product Exam

SIE

Date: 4/21/2021

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/1/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 39

Date: 6/24/2021

Direct Participation Programs Principal Examination

SRO Registrations

FINRA

Current Firm

BLUE VISTA CAPITAL, LLC

CRD#: 127001 / SEC#: 801-74382, 8-65941

RIA

Registered Investment Advisory firm - SEC (3/13/2012 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

353 N. Clark St. Suite 730, Chicago, IL 60654-3453

Mailing Address

353 N. Clark St. Suite 730, Chicago, IL 60654-3453

Phone number

(312) 578-0033

Established

Illinois since 03/14/2003

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (1 States and Territories)

FINRA licenses (14 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

BLUE VISTA PART 2A (3/31/2025)

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	19
AUM (Assets Under Management)	$ 1,889,066,084

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/20/2024	Cover Page	Report
04/24/2024	Cover Page	Report
03/11/2024	Cover Page	Report
03/29/2023	Cover Page	Report

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Stephen B. Chase

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen Bartlett Chase's CRS (Customer Relationship Summary).

Certified licenses

Experience

LAZARD FRERES & CO. LLC

OPPENHEIMER & CO. INC.

CIBC WORLD MARKETS CORP.

RBC CAPITAL MARKETS, LLC

DAIN RAUSCHER INCORPORATED

Primary Firm SEC Registration

BLUE VISTA CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/24/2021

Series 22TO

Date: 4/21/2021

SIE

Date: 4/21/2021

Series 7

Date: 8/1/1996

Series 39

Date: 6/24/2021

FINRA

Current Firm

BLUE VISTA CAPITAL, LLC

Contact information

SEC notice filing (1 States and Territories)

FINRA licenses (14 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

BLUE VISTA CAPITAL, LLC

TRUST BUT VERIFY

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