Will B. 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.
Will Benton Chase was a registered financial professional .
Will is a previously registered financial professional and started their career in finance in 1970. Will had worked at 7 firms and has passed the Series 63, Series 7, Series 1 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
April 14, 1989 - October 3, 1997
MILLER JOHNSON STEICHEN KINNARD, INC.
May 30, 1986 - January 12, 1988
TWIN CITY SECURITIES, INC.
November 30, 1984 - January 27, 1986
DEUTSCHE IXE, LLC
September 23, 1981 - November 20, 1984
ROBERT S. C. PETERSON, INC.
March 23, 1981 - October 1, 1981
NOBLE SECURITIES CO.
January 13, 1971 - May 10, 1976
MARGOLIS & CO., INC.
March 19, 1970 - January 18, 1971
JOHN G. KINNARD AND COMPANY, INCORPORATED
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: 4/28/1961
Registered Representative ExaminationSeries 00
Date: 1/27/1972
General Securities Principal ExaminationCurrent Firm
MILLER JOHNSON STEICHEN KINNARD, INC.
CRD#: 694 / SEC#: , 8-1303
Contact information
Documents
Disclosures
| Regulatory Event | 19 |
| Arbitration | 8 |
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.
