Chazon Stein
Professional summary
Chazon Stein was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Chazon is a previously registered financial professional and started their career in finance in 2000. Prior to being barred, Chazon had worked at 6 firms, which includes PRIMEX, STONEX SECURITIES INC., EMMETT A LARKIN COMPANY INC., SALOMON GREY FINANCIAL CORPORATION, WINDSOR STREET CAPITAL LP, BARRON CHASE SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2013 - January 14, 2014
PRIMEX
August 17, 2009 - August 9, 2012
STONEX SECURITIES INC.
November 3, 2005 - August 17, 2009
EMMETT A LARKIN COMPANY, INC.
April 23, 2001 - December 5, 2005
SALOMON GREY FINANCIAL CORPORATION
October 4, 2000 - May 18, 2001
WINDSOR STREET CAPITAL, LP
July 21, 2000 - October 31, 2000
BARRON CHASE SECURITIES, INC.
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
Series 55
Date: 10/1/2007
Limited Representative-Equity Trader ExamCurrent Firm
PRIMEX
CRD#: 29394 / SEC#: , 8-44331
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVANTAGE TRADING LLC | OWNER | |
| FELIX, WILFREDO JR | CEO, CCO, PRINCIPAL, FINOP, DIRECTOR | 2693672 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 4 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
