Stephen D. Chivers
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 David Chivers, who also goes by Stephen D Chivers, Steve Chivers, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2012. Stephen had worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 3 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 23, 2021 - May 16, 2023
MAREX NORTH AMERICA SECURITIES LLC
January 13, 2016 - May 29, 2020
WELLS FARGO SECURITIES, LLC
October 13, 2014 - November 13, 2015
JEFFERIES LLC
August 2, 2012 - August 22, 2014
UBS SECURITIES LLC
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
MAREX NORTH AMERICA SECURITIES LLC
CRD#: 307508 / SEC#: , 8-70580
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KROPKE, PAUL STEVEN | CHIEF COMPLIANCE OFFICER | 2572796 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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