Scott R. Chasan
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.
Scott Russell Chasan was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1996. Scott had worked at 12 firms and has passed the Series 65, Series 63, SIE 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
November 14, 2012 - May 15, 2015
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
January 24, 2012 - November 15, 2012
E*TRADE SECURITIES LLC
July 10, 2009 - September 28, 2011
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
May 22, 2008 - March 26, 2009
ADP BROKER-DEALER, INC.
November 22, 2005 - May 6, 2008
CHASE INVESTMENT SERVICES CORP.
July 6, 2005 - May 6, 2008
CHASE INVESTMENT SERVICES CORP.
June 14, 2005 - July 6, 2005
BANC ONE SECURITIES CORPORATION
September 20, 2002 - December 19, 2003
SUNAMERICA SECURITIES, INC.
July 28, 1999 - October 25, 2001
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
September 22, 1998 - July 8, 1999
SCOTTRADE, INC.
May 9, 1997 - July 24, 1998
CHARLES SCHWAB & CO., INC.
August 5, 1996 - September 5, 1996
IDS LIFE INSURANCE COMPANY
August 5, 1996 - September 5, 1996
AMERIPRISE FINANCIAL SERVICES, LLC
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
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
CRD#: 102920 / SEC#: 801-64031, 8-52182
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JPMORGAN ASSET MANAGEMENT HOLDINGS INC. | STOCKHOLDER | |
| DONOHUE, JOHN THOMAS | DIRECTOR | 2372302 |
| HOFFMANN, JAMES ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 1949574 |
| KLOZA, KEVIN | CHIEF COMPLIANCE OFFICER | 2188958 |
| LEKSTUTIS, CARMINE | CHIEF LEGAL OFFICER | 6990745 |
| LISHER, ANDREA | PRESIDENT AND DIRECTOR | 4493750 |
| MACHULSKI, MICHAEL RICHARD | DIRECTOR | 4726972 |
| SANZONE, JOSEPH FRANK | DIRECTOR | 6581797 |
| STRIFE, LOREN T | PRINCIPAL FINANCIAL AND OPERATIONS OFFICER | 5393453 |
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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