Chelsea R. Sain
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.
Chelsea Roxann Sain, who also goes by Chelsea Roxann Kelley, was a registered financial professional .
Chelsea is a previously registered financial professional and started their career in finance in 2012. Chelsea had worked at 2 firms and has passed the Series 27 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 7, 2017 - September 21, 2017
CITY SECURITIES CORPORATION
February 28, 2017 - November 2, 2017
STIFEL, NICOLAUS & COMPANY, INCORPORATED
November 13, 2012 - February 28, 2017
CITY SECURITIES CORPORATION
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
CITY SECURITIES CORPORATION
CRD#: 1459 / SEC#: 801-67527, 8-975
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITY SECURITIES, LLC | HOLDING COMPANY | |
| OLSEN, JOHN GERALD | CCO | 1395283 |
Disclosures
| Regulatory Event | 14 |
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.
