Kolleen E. Chesley
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.
Kolleen Edwards Chesley, who also goes by Kolleen R Edwards, Kolleen Renee Edwards, Kolleen R Edwards Ritchey, Kolleen R Edwards-ritchey, was a registered financial professional .
Kolleen is a previously registered financial professional and started their career in finance in 2000. Kolleen had worked at 8 firms and has passed the Series 66, 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
July 2, 2015 - March 24, 2016
PAYNE CAPITAL MANAGEMENT, LLC
March 29, 2012 - January 22, 2015
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
November 28, 2011 - January 27, 2012
STATE FARM VP MANAGEMENT CORP.
September 24, 2010 - October 14, 2011
QUEST CAPITAL STRATEGIES, INC.
February 10, 2006 - September 29, 2008
PARK AVENUE SECURITIES LLC
November 6, 2003 - September 20, 2005
NYLIFE SECURITIES LLC
October 1, 2000 - July 17, 2003
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2000 - July 17, 2003
WELLS FARGO CLEARING SERVICES, LLC
January 17, 2000 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
Primary Firm SEC Registration
PAYNE CAPITAL MANAGEMENT, LLC
CRD#: 147119 / SEC#: 801-69261
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
PAYNE CAPITAL MANAGEMENT, LLC
CRD#: 147119 / SEC#: 801-69261
Contact information
SEC notice filing (19 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,048 |
| AUM (Assets Under Management) | $ 1,207,479,184 |
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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