Steven J. Estes
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.
Steven James Estes was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2008. Steven had worked at 5 firms and has passed the Series 65, Series 63, 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
February 24, 2022 - February 24, 2022
CHELSEA ADVISORY SERVICES, INC
November 13, 2020 - February 24, 2022
CHELSEA FINANCIAL SERVICES
November 16, 2017 - December 11, 2020
LPL FINANCIAL LLC
November 16, 2017 - December 11, 2020
LPL FINANCIAL LLC
August 29, 2017 - November 20, 2017
WADDELL & REED
July 20, 2012 - November 20, 2017
WADDELL & REED
July 17, 2008 - July 20, 2012
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
CHELSEA ADVISORY SERVICES, INC
CRD#: 150791 / SEC#: 801-112349
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
CHELSEA ADVISORY SERVICES, INC
CRD#: 150791 / SEC#: 801-112349
Contact information
SEC notice filing (17 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 536 |
| AUM (Assets Under Management) | $ 126,883,334 |
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.
