SC
Stephen T. Chance
STATE STREET GLOBAL MARKETS
Boston, MA 02114-2016
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CRD#: 3075995
SC
Professional summary
Stephen Thomas Chance, who also goes by Steve Chance, is a registered financial professional currently at STATE STREET GLOBAL MARKETS, LLC located in Boston, Massachusetts.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 2000. Stephen has worked at 7 firms and has passed the Series 63, Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Steve Chance
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.
CRS (Client Relationship Summary) - BD
Click below to view Stephen Thomas Chance's 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®
NoneExperience
Current
January 20, 2023 - Present
STATE STREET GLOBAL MARKETS, LLC
Office #1: One Congress Street, Suite 1, Boston, MA 02114-2016BD
CRD#: 285852
Boston, MA
Past
October 2, 2006 - September 22, 2011
ROCHE FINANCIAL PARTNERS LLC
RIA
CRD#: 133604
PRINCETON, NJ
Past
August 22, 2005 - September 28, 2006
GLEN EAGLE WEALTH, LLC
BD
CRD#: 124504
KINGSTON, NJ
Past
July 11, 2002 - October 10, 2003
BNY ADVISORS
RIA
CRD#: 106108
MALVERN, PA
Past
February 27, 2001 - October 10, 2003
LOCKWOOD FINANCIAL SERVICES, INC.
BD
CRD#: 40655
MALVERN, PA
Past
August 17, 2000 - October 31, 2000
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
August 17, 2000 - October 31, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(4/11/2023)
RR
Alaska(4/11/2023)
RR
Arizona(4/11/2023)
RR
Arkansas(4/11/2023)
RR
California(4/11/2023)
RR
Colorado(4/11/2023)
RR
Connecticut(4/11/2023)
RR
Delaware(4/11/2023)
RR
District of Columbia(4/11/2023)
RR
Florida(4/11/2023)
RR
Georgia(4/11/2023)
RR
Hawaii(4/11/2023)
RR
Idaho(4/11/2023)
RR
Illinois(4/11/2023)
RR
Indiana(4/11/2023)
RR
Iowa(4/11/2023)
RR
Kansas(4/11/2023)
RR
Kentucky(4/11/2023)
RR
Louisiana(4/11/2023)
RR
Maine(4/11/2023)
RR
Maryland(4/11/2023)
RR
Massachusetts(2/9/2023)
RR
Michigan(4/11/2023)
RR
Minnesota(4/11/2023)
RR
Mississippi(4/11/2023)
RR
Missouri(4/11/2023)
RR
Montana(4/11/2023)
RR
Nebraska(4/11/2023)
RR
Nevada(4/11/2023)
RR
New Hampshire(4/11/2023)
RR
New Jersey(4/11/2023)
RR
New Mexico(4/11/2023)
RR
New York(4/11/2023)
RR
North Carolina(4/11/2023)
RR
North Dakota(4/11/2023)
RR
Ohio(4/12/2023)
RR
Oklahoma(4/11/2023)
RR
Oregon(4/11/2023)
RR
Pennsylvania(4/11/2023)
RR
Puerto Rico(4/11/2023)
RR
Rhode Island(4/11/2023)
RR
South Carolina(4/11/2023)
RR
South Dakota(4/11/2023)
RR
Tennessee(4/11/2023)
RR
Texas(4/11/2023)
RR
Utah(4/11/2023)
RR
Vermont(4/11/2023)
RR
Virgin Islands(4/11/2023)
RR
Virginia(4/11/2023)
RR
Washington(4/11/2023)
RR
West Virginia(4/11/2023)
RR
Wisconsin(4/11/2023)
RR
Wyoming(4/11/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/20/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
SS
STATE STREET GLOBAL MARKETS, LLC
STATE STREET GLOBAL MARKETS, LLC | STATE STREET NEWCO, LLC
CRD#: 285852 / SEC#: , 8-69862
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Congress Street, Suite 1, Boston, MA 02114-2016
Mailing Address
One Congress Street, Suite 1, Boston, MA 02114-2016
Phone number
(617) 664-3619
Established
Delaware since 10/07/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE STREET CORPORATION | PARENT COMPANY | |
| BAMBINO, JOHN JOSEPH | CHIEF FINANCIAL OFFICER, FINOP, PRINCIPAL FINANCIAL OFFICER | 4237874 |
| CHARLAND, JOSEPH LEONARD | DIRECTOR | 5183891 |
| FISCHER, MARTIN ROBERT | CHIEF OPERATIONS OFFICER, PRINCIPAL OPERATIONS OFFICER | 1692872 |
| FORTUNA, GREGORY PAUL | DIRECTOR | 3168105 |
| MAXHAM, DAVID GOULD | DIRECTOR | 6372664 |
| MCKEON, ROBERT A | DIRECTOR | 7638847 |
| MORGAN, DANIEL ROBERT | CHIEF EXECUTIVE OFFICER | 2743457 |
| SIGLAIN, TARYN ANN | DIRECTOR | 5163466 |
| SOR, LY | DIRECTOR | 7996223 |
| TRABUCCO, MARK RUSSELL | CHIEF COMPLIANCE OFFICER | 4856280 |
Disclosures
| Regulatory Event | 4 |
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.
Company Information
STATE STREET GLOBAL MARKETS, LLC
CRD#: 285852Boston, MA 02114-2016TRUST BUT VERIFY
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