Stephen W. Chaires

ACADEMY SECURITIES

Chapel Hill, NC 27517

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CRD#: 4560892

Professional summary

Stephen Wayne Chaires is a registered financial professional currently at ACADEMY SECURITIES, INC. located in Chapel Hill, North Carolina.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 2002. Stephen has worked at 2 firms and has passed the Series 63, Series 99TO, Series 52TO, Series 79TO, SIE, Series 7, Series 24, Series 53 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen Wayne Chaires's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 3, 2014 - Present

ACADEMY SECURITIES, INC.

Office #1: 101 Glen Lennox Drive Suite 220, Chapel Hill, NC 27517

CRD#: 17433

Chapel Hill, NC

Past

September 6, 2002 - November 18, 2014

CAROLINA CAPITAL MARKETS, INC.

CRD#: 38156

CHAPEL HILL, NC

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Illinois
(10/28/2015)

New Mexico
(7/8/2016)

New York
(1/27/2017)

North Carolina
(7/21/2014)

Virginia
(7/24/2025)

Exams

State Security Law Exam

Series 63

Date: 6/27/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/5/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/5/2015

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 6/21/2014

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 8/24/2005

Financial and Operations Principal Examination

SRO Registrations

FINRA

Current Firm

ACADEMY SECURITIES, INC.

ACADEMY ASSET MANAGEMENT | STERLING INVESTMENT SERVICES, INC. | LASALLE BROKERAGE SERVICES, INC. | ACADEMY SECURITIES, INC.

CRD#: 17433 / SEC#: , 8-35173

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

622 3rd Avenue 12th Floor, New York, NY 10017

Mailing Address

622 3rd Avenue 12th Floor, New York, NY 10017

Phone number

(646) 736-3995

Established

Delaware since 11/07/1985

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (38 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
MIMS, RONALD CHANCE	CHAIRMAN, CEO	5637540
GRAHAM, ANTHONY R	FINOP	4959159
GRAHAM, ANTHONY R	PRINCIPAL OPERATIONS OFFICER	4959159
GRAHAM, ANTHONY R	PRINCIPAL FINANCIAL OFFICER	4959159
GRAHAM, ANTHONY R	COO	4959159
MCCONKEY, PHILIP JOSEPH	VICE CHAIRMAN	3253139
WILCOX, SPENCER HAMILTON	PRESIDENT	5802885
BOYD, MICHAEL BARTOW	CHIEF COMPLIANCE OFFICER, MUNICIPAL SECURITIES PRINCIPAL,REGISTERED OPTIONS PRINCIPAL, AML OFFICER	2557814

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Stephen W. Chaires

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen Wayne Chaires's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAROLINA CAPITAL MARKETS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/27/2003

Series 99TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/5/2002

Series 24

Date: 10/5/2015

Series 53

Date: 6/21/2014

Series 27

Date: 8/24/2005

FINRA

Current Firm

ACADEMY SECURITIES, INC.

Contact information

FINRA licenses (38 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ACADEMY SECURITIES, INC.

TRUST BUT VERIFY

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