Chantel G. Aymond
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.
Chantel Georgette Aymond MS, who also goes by Chantel A Aymond, Chantel Georgette Aymond, Chantel G Aymond, was a registered financial professional .
Chantel is a previously registered financial professional and started their career in finance in 2004. Chantel had worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 2019 - February 15, 2022
CETERA INVESTMENT ADVISERS LLC
October 4, 2019 - February 15, 2022
CETERA INVESTMENT SERVICES LLC
June 8, 2017 - June 26, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
June 8, 2017 - June 26, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
June 30, 2016 - May 18, 2017
J.P. MORGAN SECURITIES LLC
June 30, 2016 - May 18, 2017
J.P. MORGAN SECURITIES LLC
May 22, 2012 - June 17, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
April 30, 2012 - June 17, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
June 3, 2011 - May 9, 2012
MSI FINANCIAL SERVICES, INC.
July 6, 2005 - June 3, 2011
CHASE INVESTMENT SERVICES CORP.
January 22, 2004 - July 6, 2005
BANC ONE SECURITIES CORPORATION
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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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