Chad M. Turner
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.
Chad M. Turner was a registered financial professional .
Chad is a previously registered financial professional and started their career in finance in 2012. Chad had worked at 1 firm and has passed the Series 63, SIE, Series 62 and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 14, 2012 - December 10, 2014
MID-MARKET SECURITIES, LLC
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
Series 62
Date: 5/3/2012
Corporate Securities Limited Representative ExaminationCurrent Firm
MID-MARKET SECURITIES, LLC
CRD#: 126750 / SEC#: , 8-65905
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WIEN, ROBERT WILLIAM | PRESIDENT & CEO/GSP/CCO/FINOP | 2289694 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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