Chad A. Ross
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.
Chad Aaron Ross was a registered financial professional .
Chad is a previously registered financial professional and started their career in finance in 2003. Chad had worked at 3 firms and has passed the Series 6TO, SIE, Series 6 and Series 26 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 7, 2021 - March 13, 2025
SYMETRA SECURITIES, INC.
March 12, 2021 - June 17, 2021
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
March 21, 2003 - July 13, 2018
PACIFIC SELECT DISTRIBUTORS, 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
What does exam status mean?
Series 6TO
Passed: 3/11/2021
Investment Company Products/Variable Contracts Representative ExaminationSeries 6
Passed: 3/19/2003
Series 26
Passed: 10/26/2017
Current Firm
SYMETRA SECURITIES, INC.
CRD#: 739 / SEC#: , 8-13470
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SYMETRA FINANCIAL CORPORATION | OWNER | |
| BOWEN, LACY CHEREE | CHIEF COMPLIANCE OFFICER | 5570690 |
| DIMITRI, DAVID MICHAEL | SECRETARY | 4806001 |
| DOW, SHANEN LYNN | ASSISTANT TREASURER, VICE PRESIDENT | 7676848 |
| ELLIS, COURTNEY LYNN | CHIEF OPERATING OFFICER | 5460601 |
| FARRELL, ANDREW MICHAEL | PRESIDENT, DIRECTOR | 4463467 |
| FIECHTNER, KELLI L | DIRECTOR | 3061482 |
| HANSON, COLLEEN | ASSISTANT VICE PRESIDENT, FINANCIAL AND OPERATIONS PRINCIPAL, TREASURER, CHIEF FINANCIAL OFFICER | 7271134 |
| MILLER, CHAD C | DIRECTOR | 8262915 |
| NATAUPSKY, JEFFREY HOWARD | FINANCIAL AND OPERATIONS PRINCIPAL, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 6329134 |
| NORBERG, KRISTIN ROUST | VICE PRESIDENT | 7033021 |
| OBERDECK, ANDREW A | ASSISTANT SECRETARY | 8015633 |
| OTTO, JOSEPHINE R | ASSISTANT SECRETARY | 8015301 |
| RABIN, KEVIN WILLIAM | DIRECTOR | 7033042 |
Disclosures
| Regulatory Event | 3 |
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.
