Chad A. Kyes
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.
Chad A Kyes, who also goes by Chad Alan Kyes, Chad Kyes, was a registered financial professional .
Chad is a previously registered financial professional and started their career in finance in 1999. Chad had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2018 - November 9, 2018
BANKERS LIFE ADVISORY SERVICES, INC.
June 28, 2018 - November 9, 2018
BANKERS LIFE SECURITIES, INC.
January 12, 2016 - June 6, 2016
LEGEND EQUITIES CORPORATION
June 17, 2014 - December 31, 2017
CETERA INVESTMENT ADVISERS LLC
June 13, 2014 - December 31, 2017
CETERA FINANCIAL SPECIALISTS LLC
March 17, 2014 - May 27, 2014
SECURITIES AMERICA ADVISORS, INC.
March 17, 2014 - May 27, 2014
SECURITIES AMERICA, INC.
October 29, 2013 - January 24, 2014
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
October 23, 2013 - January 24, 2014
SECURITIES MANAGEMENT & RESEARCH, INC.
October 23, 2013 - January 24, 2014
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
February 17, 2005 - October 18, 2013
AMERITAS INVESTMENT COMPANY, LLC
April 6, 2001 - October 18, 2013
AMERITAS INVESTMENT COMPANY, LLC
August 13, 1999 - April 2, 2001
EDWARD JONES
Primary Firm SEC Registration
BANKERS LIFE ADVISORY SERVICES, INC.
CRD#: 281285 / SEC#: 801-106953
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
BANKERS LIFE ADVISORY SERVICES, INC.
CRD#: 281285 / SEC#: 801-106953
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 14,938 |
| AUM (Assets Under Management) | $ 1,943,847,697 |
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.
