Richard T. Chase

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CRD#: 2949113

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.

Richard Troy Chase was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1997. Richard had worked at 9 firms and has passed the Series 63, Series 79TO, SIE, Series 14 and Series 24 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)

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

July 23, 2021 - September 27, 2021

BESTEX RESEARCH SECURITIES, LLC

CRD#: 309569

STAMFORD, CT

Past

October 15, 2019 - September 28, 2021

SEALY INVESTMENT SECURITIES, LLC

CRD#: 300691

DALLAS, TX

Past

July 9, 2018 - October 14, 2021

ONECHRONOS

CRD#: 286322

New York, NY

Past

September 24, 2015 - October 14, 2021

ENVERRA CAPITAL LLC

CRD#: 129103

WASHINGTON, DC

Past

February 29, 2008 - January 30, 2015

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

December 20, 2002 - February 29, 2008

RBC CAPITAL MARKETS CORPORATION

CRD#: 6579

NEW YORK, NY

Past

July 27, 1999 - April 3, 2001

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

SAINT PAUL, MN

Past

July 24, 1998 - March 29, 2001

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

Past

April 6, 1998 - July 22, 1998

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

October 27, 1997 - April 6, 1998

WESSELS, ARNOLD & HENDERSON, L.L.C.

CRD#: 17914

MINNEAPOLIS, MN

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

Series 63

Date: 11/8/2019

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

Principal/Supervisory Exam

Series 14

Date: 12/27/2002

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 1/27/1998

General Securities Principal Examination

Current Firm

BESTEX RESEARCH SECURITIES, LLC

CRD#: 309569 / SEC#: , 8-70584

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

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Contact information

Main Address

2 Landmark Square Suite 214, Stamford, CT 06901

Mailing Address

2 Landmark Square Suite 214, Stamford, CT 06901

Phone number

(203) 989-9218

Established

Delaware since 04/23/2020

Firm type

Limited Liability Company

Fiscal year end

September

Firm Size

Small

# of Employees

FINRA licenses (30 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
BESTEX RESEARCH GROUP, LLC	DIRECT OWNER
DERIAN, BEATRICE	CHIEF FINANCIAL OFFICER/FINOP	6368396
MEROLLA, PAUL ANTHONY SR.	CHIEF COMPLIANCE OFFICER	1099818
MITTAL, HITESH	CHIEF EXECUTIVE OFFICER	4540871
SARAIYA, NIGAM HARISH	CHIEF PRODUCT OFFICER	5498898

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.

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Advisor Monitoring

Firm Stability Insights

Richard T. Chase

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SEALY INVESTMENT SECURITIES, LLC

ONECHRONOS

ENVERRA CAPITAL LLC

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS CORPORATION

U.S. BANCORP INVESTMENTS, INC.

PIPER SANDLER & CO.

RBC CAPITAL MARKETS, LLC

WESSELS, ARNOLD & HENDERSON, L.L.C.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/8/2019

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 14

Date: 12/27/2002

Series 24

Date: 1/27/1998

Current Firm

BESTEX RESEARCH SECURITIES, LLC

Contact information

FINRA licenses (30 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

BESTEX RESEARCH SECURITIES, LLC

TRUST BUT VERIFY

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