Jesse M. Chase
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.
Jesse Miller Chase JR, who also goes by Jess Chase, was a registered financial professional .
Jesse is a previously registered financial professional and started their career in finance in 1969. Jesse had worked at 5 firms and has passed the Series 63, Series 3, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 24, 1990 - November 17, 1995
J.C. BRADFORD & CO.
January 7, 1987 - February 1, 1990
PRUDENTIAL EQUITY GROUP, LLC
August 9, 1984 - January 15, 1987
MORGAN KEEGAN & COMPANY, LLC
August 11, 1972 - July 4, 1974
JOHNSON, LANE, SPACE, SMITH & CO., INC.
November 18, 1969 - September 14, 1972
KOHLMEYER & CO.
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: 11/8/1969
Registered Representative ExaminationSeries 8
Date: 11/2/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
J.C. BRADFORD & CO.
CRD#: 1287 / SEC#: , 8-3953
Contact information
Documents
Disclosures
| Regulatory Event | 35 |
| Civil Event | 2 |
| Arbitration | 7 |
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.
