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JC

Jeffrey A. Chase

Some features on this profile are disabled
CRD#: 4023237
JC

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.

Jeffrey Alan Chase was a registered financial professional .

Jeffrey is a previously registered financial professional and started their career in finance in 1999. Jeffrey had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 62, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?
No

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

March 6, 2025 - February 13, 2026

EDELMAN FINANCIAL ENGINES

RIA
CRD#: 104510
BRANDON, FL
Past

July 22, 2022 - August 2, 2024

RAYMOND JAMES & ASSOCIATES, INC.

RIA
CRD#: 705
ST. PETERSBURG, FL
Past

July 21, 2022 - August 2, 2024

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
ST. PETERSBURG, FL
Past

June 1, 2009 - May 10, 2022

MORGAN STANLEY

RIA
CRD#: 149777
Tampa, FL
Past

June 1, 2009 - May 10, 2022

MORGAN STANLEY

BD
CRD#: 149777
Tampa, FL
Past

September 27, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
SAN DIEGO, CA
Past

September 27, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
SAN DIEGO, CA
Past

April 2, 2007 - June 26, 2007

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
WASHINGTON, DC
Past

April 2, 2007 - June 26, 2007

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
WASHINGTON, DC
Past

May 3, 2005 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
WASHINGTON, DC
Past

April 27, 2005 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
WASHINGTON, DC
Past

July 9, 2003 - February 16, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
CENTREVILLE, VA
Past

May 15, 2003 - February 16, 2005

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

May 15, 2003 - February 16, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

February 8, 2002 - August 29, 2002

M.L. STERN & CO., LLC.

BD
CRD#: 8327
BEVERLY HILLS, CA
Past

July 28, 2000 - May 7, 2001

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

January 21, 2000 - June 30, 2000

M.L. STERN & CO., LLC.

BD
CRD#: 8327
BEVERLY HILLS, CA
Past

December 10, 1999 - December 22, 1999

HAMPTON-PORTER, INVESTMENT BANKERS, A CALIFORNIA LLC

BD
CRD#: 42949
SAN DIEGO, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
EF
EDELMAN FINANCIAL ENGINES
EDELMAN FINANCIAL ENGINES | FINANCIAL ENGINES ADVISORS LLC | FINANCIAL ENGINES ADVISORS L.L.C.

CRD#: 104510 / SEC#: 801-55196

RIA
Registered Investment Advisory firm - (1/14/1998 Approved)

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
IAR
Series 65
Date: 7/8/2003
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/13/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 4/16/2008
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 1/20/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 62
Date: 12/9/1999
Corporate Securities Limited Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 8/27/2021
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 7/27/2021
General Securities Sales Supervisor - General Module Examination

Current Firm

EF
EDELMAN FINANCIAL ENGINES
EDELMAN FINANCIAL ENGINES | FINANCIAL ENGINES ADVISORS LLC | FINANCIAL ENGINES ADVISORS L.L.C.

CRD#: 104510 / SEC#: 801-55196

RIA
Registered Investment Advisory firm - (1/14/1998 Approved)
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Contact information

Main Address
3945 Freedom Circle, Santa Clara, CA 95054
Mailing Address
Phone number
(800) 601-5957
Established
Firm type
Fiscal year end
# of Employees
1,616

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

EFE_ADV_PART_2A_03.31.2025 (3/31/2025)
EFE_WRAP_FEE_BROCHURE_03.31.2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts1,552,934
AUM (Assets Under Management)$ 292,902,969,770

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

EDELMAN FINANCIAL ENGINES

CRD#: 104510

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