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CH

Chace W. Herndon

Some features on this profile are disabled
CRD#: 5502058
CH

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.

Chace Wayne Herndon was a registered financial professional .

Chace is a previously registered financial professional and started their career in finance in 2008. Chace had worked at 2 firms and has passed the Series 66 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

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

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

Past

May 18, 2009 - March 13, 2014

AUSTIN ATLANTIC CAPITAL INC.

BD
CRD#: 43981
MEMPHIS, TN
Past

May 19, 2008 - December 12, 2008

MORGAN KEEGAN & COMPANY, LLC

RIA
CRD#: 4161
MEMPHIS, TN
Past

April 23, 2008 - December 12, 2008

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
MEMPHIS, TN

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/17/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/22/2008
General Securities Representative Examination

Current Firm

AA
AUSTIN ATLANTIC CAPITAL INC.
AUSTIN ATLANTIC CAPITAL INC. | SHAY FINANCIAL SERVICES, INC. | PROVENANCE FINANCIAL INC.

CRD#: 43981 / SEC#: , 8-50509

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
1 Alhambra Plaza Suite 100, Coral Gables, FL 33134
Mailing Address
1 Alhambra Plaza Suite 100, Miami, FL 33134
Phone number
(305) 507-1536
Established
Florida since 08/13/1990
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (50 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
AUSTIN ATLANTIC INC.SHAREHOLDER
RODRIGUEZ, AARON NETZAHUALCOYOTLCFO5421965
ROWE, KEVIN ANTHONYCHIEF COMPLIANCE OFFICER4641264
SHAY JR, RODGER DAVIDPRESIDENT AND COO1008086

Disclosures

Regulatory Event2

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.

Company Information

AUSTIN ATLANTIC CAPITAL INC.

CRD#: 43981

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