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Errol Dean Chittenden

CRD# 501952·Registered 1977 - 2001
Previously Registered: Being a previously registered professional could mean that Errol 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.

Professional Summary

Errol Dean Chittenden, who also goes by Dean Chittenden, was a registered financial advisor. Errol was a previously registered financial advisor and started their career in finance 1977 - 2001. Errol had worked at 9 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Dean Chittenden

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

49 years in the financial services industry

Current & Past Employments

SCHMIDT SECURITIES, INC.·CRD# 7099
BD
Southfield, MI
January 2, 2001 - February 1, 2001
FIRST INTERSTATE FINANCIAL SERVICES, INCORPORATED·CRD# 118753
RIA
Hugo, OK
November 18, 1999 - November 10, 2011
BOK FINANCIAL SECURITIES, INC.·CRD# 17530
BD
Tulsa, OK
August 17, 1998 - January 8, 1999
ALLIANCE SECURITIES CORP.·CRD# 42395
BD
March 17, 1997 - August 17, 1998
T.J. THOMPSON & ASSOCIATES, INC.·CRD# 28265
BD
Oklahoma, OK
November 23, 1991 - September 16, 1996
WOOLSEY & COMPANY, INCORPORATED·CRD# 7012
BD
Oklahoma City, OK
April 4, 1990 - July 20, 1990
THE BAKER GROUP, LP·CRD# 7888
BD
Oklahoma City, OK
October 13, 1989 - April 2, 1990
PAS, INC.·CRD# 8180
BD
November 3, 1988 - October 16, 1989
LEO OPPENHEIM & CO., INC.·CRD# 6990
BD
July 14, 1977 - September 2, 1988

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Current Firm

SS
SCHMIDT SECURITIES, INC.

SCHMIDT SECURITIES, INC.

CRD#: 7099 / SEC#: 8-20083
BD
Terminated by SEC on 04/27/2001

Contact Information

Established

Michigan since 08/23/1973

Firm Type

Corporation

Fiscal Year End

June

Documents

Direct owners and executive officers

NamePositionCRD#
KLEINBROOK, CHARLES FRANCISCEO/PRESIDENT/EXECUTIVE REPRESENTATIVE/MUNICIPAL PRINCIPAL2691951
CANYOCK, SUZANNE MARIEVICE PRESIDENT OPERATIONS, MUNICIPAL PRINCIPAL2670271

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Jan 1997About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Dec 1989About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Jun 1981About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Dec 1981About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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