Wesley G. Long
Professional summary
Wesley Glyn Long was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Wesley Glyn Long, who also goes by Wes Long, was a registered financial advisor .
Wesley is a previously registered financial advisor and started their career in finance in 1997. Wesley had worked at 6 firms and has passed the Series 65, Series 63 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
March 9, 2009 - January 21, 2010
CHASE INVESTMENT SERVICES CORP.
February 17, 2009 - January 21, 2010
CHASE INVESTMENT SERVICES CORP.
October 15, 2007 - February 5, 2009
WELLS FARGO CLEARING SERVICES, LLC
October 15, 2007 - February 5, 2009
WELLS FARGO CLEARING SERVICES, LLC
July 6, 2005 - October 15, 2007
CHASE INVESTMENT SERVICES CORP.
July 6, 2005 - October 15, 2007
CHASE INVESTMENT SERVICES CORP.
June 12, 2003 - July 6, 2005
BANC ONE SECURITIES CORPORATION
June 12, 2003 - July 6, 2005
BANC ONE SECURITIES CORPORATION
June 8, 2001 - June 6, 2003
WAMU INVESTMENTS, INC.
September 3, 1999 - May 29, 2001
MORGAN STANLEY DW INC.
January 21, 1997 - September 7, 1999
CITIGROUP GLOBAL MARKETS INC.
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.
