Stephen D. Chambers
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.
Stephen Dennis Chambers, who also goes by Steve Chambers, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1972. Stephen had worked at 7 firms and has passed the Series 63, Series 7, Series 1, Series 27, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 31, 1989 - May 15, 1990
HEINER FINANCIAL SERVICES CORPORATION
May 9, 1989 - December 31, 1990
HEINER & STOCK, INC.
September 20, 1985 - April 16, 1987
J.W. MCCLEES AND COMPANY, INC.
October 26, 1984 - September 6, 1985
PAGEL INC.
March 22, 1974 - January 24, 1976
STEARNS & CO., INC.
September 25, 1973 - March 22, 1974
G M CLARK & CO INC
September 27, 1972 - May 30, 1973
FIRST MINNEAPOLIS INVESTMENT CORP.
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 1
Date: 9/21/1972
Registered Representative ExaminationF04
Date: 2/14/1974
Financial Principal ExaminationSeries 00
Date: 2/14/1974
General Securities Principal ExaminationCurrent Firm
HEINER FINANCIAL SERVICES CORPORATION
CRD#: 17910 / SEC#: , 8-35939
Contact information
Documents
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.
