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Will Benton Chase

CRD# 45079·Registered 1970 - 1997
Previously Registered: Being a previously registered professional could mean that Will 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.

Professional Summary

Will Benton Chase was a registered financial advisor. Will was a previously registered financial professional and started their career in finance 1970 - 1997. Will had worked at 7 firms and has passed the Series 63, Series 7, Series 1 and Series 00 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

65 years in the financial services industry

Current & Past Employments

MILLER JOHNSON STEICHEN KINNARD, INC.·CRD# 694
BD
Minneapolis, MN
April 14, 1989 - October 3, 1997
TWIN CITY SECURITIES, INC.·CRD# 17092
BD
May 30, 1986 - January 12, 1988
DEUTSCHE IXE, LLC·CRD# 7172
BD
November 30, 1984 - January 27, 1986
ROBERT S. C. PETERSON, INC.·CRD# 6924
BD
September 23, 1981 - November 20, 1984
NOBLE SECURITIES CO.·CRD# 7066
BD
March 23, 1981 - October 1, 1981
MARGOLIS & CO., INC.·CRD# 5464
BD
January 13, 1971 - May 10, 1976
JOHN G. KINNARD AND COMPANY, INCORPORATED·CRD# 466
BD
March 19, 1970 - January 18, 1971

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Current Firm

MJ
MILLER JOHNSON STEICHEN KINNARD, INC.

MILLER JOHNSON STEICHEN KINNARD, INC. | R.J. STEICHEN & COMPANY | R. J. STEICHEN AND COMPANY

CRD#: 694 / SEC#: 8-1303
BD
Terminated by SEC on 03/25/2008

Contact Information

Established

Minnesota since 05/03/1933

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
STOCKWALK GROUP, INCPARENT COMPANY—
FARNHAM, MARY CAMILLO MS.SENIOR VICE PRESIDENT4250431
GOBLIRSCH, WILLIAM MICHAEL JRCEO, CFO, CCO223375

Disclosures

Regulatory Event

19

Arbitration

8

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 1981About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Mar 1981About the Series 7 exam

Series 1 — Registered Representative Examination

Passed Apr 1961

Series 00 — General Securities Principal Examination

Passed Jan 1972

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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