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CF

Chase Floyd

THE FINANCIAL CHASE LLC
Phoenix, AZ 85018
Some features on this profile are disabled
CRD#: 5526288
CF

Professional summary

Chase Floyd, who also goes by Chase Rufus Floyd, is a registered financial advisor currently at THE FINANCIAL CHASE LLC located in Phoenix, Arizona.

Chase is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Chase has worked at 5 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Chase Rufus Floyd

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) - RIA

Click below to view Chase Floyd's CRS (Customer Relationship Summary).

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

Current

March 29, 2018 - Present

THE FINANCIAL CHASE LLC

Office #1: 3920 E Indian School Rd Suite 8, Phoenix, AZ 85018
RIA
CRD#: 174512
Phoenix, AZ
Past

August 29, 2017 - December 31, 2019

THE FINANCIAL CHASE LLC

RIA
CRD#: 174512
TOLLESON, AZ
Past

March 12, 2015 - December 31, 2015

THE FINANCIAL CHASE LLC

RIA
CRD#: 174512
HOUSTON, TX
Past

October 18, 2013 - August 21, 2014

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
HOUSTON, TX
Past

October 1, 2012 - October 9, 2013

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
HOUSTON, TX
Past

February 23, 2012 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
HOUSTON, TX
Past

November 23, 2010 - January 9, 2012

LINCOLN INVESTMENT

BD
CRD#: 519
SUGAR LAND, TX

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Arizona
(3/29/2018)
IAR
Texas
(5/5/2020)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/11/2015
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/28/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 11/22/2010
Investment Company Products/Variable Contracts Representative Examination

Current Firm

TF
THE FINANCIAL CHASE LLC
FLOYD FINANCIAL SERVICES LLC | THE FINANCIAL CHASE LLC

CRD#: 174512 / SEC#:

Arizona
Registered Investment Advisory firm - (3/29/2018 Approved)
Texas
Registered Investment Advisory firm - (5/5/2020 Approved)
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Contact information

Main Address
3920 E Indian School Rd Suite 8, Phoenix, AZ 85018
Mailing Address
Phone number
(832) 754-4157
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV
0

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

THE FINANCIAL CHASE LLC

CRD#: 174512Phoenix, AZ 85018

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