Constance C. Bolen
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.
Constance Chilvers Bolen, who also goes by Connie Chilvers Bolen, Connie Reed Chilvers, Constance R Chilvers, was a registered financial professional .
Constance is a previously registered financial professional and started their career in finance in 2005. Constance had worked at 6 firms and has passed the Series 66, SIE, Series 7TO and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 10, 2022 - June 16, 2026
CETERA INVESTMENT ADVISERS LLC
August 10, 2022 - June 16, 2026
CETERA INVESTMENT SERVICES LLC
August 14, 2019 - August 10, 2022
HANCOCK WHITNEY INVESTMENT SERVICES INC.
June 28, 2019 - August 10, 2022
HANCOCK WHITNEY INVESTMENT SERVICES INC.
November 17, 2010 - November 18, 2011
INVEST FINANCIAL CORPORATION
November 17, 2010 - November 18, 2011
INVEST FINANCIAL CORPORATION
September 13, 2006 - November 24, 2008
CHASE INVESTMENT SERVICES CORP.
September 13, 2006 - November 24, 2008
CHASE INVESTMENT SERVICES CORP.
December 2, 2005 - July 3, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 1, 2005 - July 3, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 7TO
Date: 5/23/2019
General Securities Representative ExaminationCurrent 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 |
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.
