Samuel M. Chase
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.
Samuel Moore Chase JR., who also goes by Sam Chase, Samuel Moore Chase Jr, Samuel Moore Chase, was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 1973. Samuel had worked at 12 firms and has passed the Series 63, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 15, 2013 - November 7, 2013
BA SECURITIES, LLC
July 19, 2012 - February 12, 2013
LPE SECURITIES, LLC
September 8, 2010 - December 31, 2011
BRIDGE CAPITAL ASSOCIATES, INC.
June 11, 2009 - September 23, 2010
AMERIFUND CAPITAL SECURITIES, LLC
August 1, 2006 - November 16, 2006
TETON INVESTMENT PARTNERS, LLC
October 5, 2005 - February 7, 2006
LPE SECURITIES, LLC
May 1, 2002 - September 19, 2005
WESTMINSTER SECURITIES CORPORATION
January 10, 1997 - May 10, 2002
NATIONAL SECURITIES CORPORATION
February 16, 1996 - December 20, 1996
BUCKHEAD FINANCIAL CORPORATION
May 3, 1989 - May 27, 1994
BROKERS EXCHANGE, INC.
August 9, 1974 - March 13, 1975
VARIABLE INSURANCE MAREKTING S SERVICES, INC.
July 18, 1974 - June 5, 1987
CONDEL SECURITIES, INC.
July 10, 1973 - May 1, 1974
COMPASS ASSET MANAGEMENT, INC.
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
F04
Date: 6/14/1973
Financial Principal ExaminationSeries 00
Date: 6/14/1973
General Securities Principal ExaminationCurrent Firm
BA SECURITIES, LLC
CRD#: 153489 / SEC#: , 8-68545
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BA HOLDCO, LLC | OWNER | |
| BOLDEN, MICHAEL LABRADOR | CHIEF COMPLIANCE OFFICER | 6411755 |
| CHUFF, JOHN JOSEPH | PRESIDENT | 1205736 |
| HATLING, PEDER ALAN | PRINCIPAL | 5240595 |
| JUILIANO, COLLEEN JANE | FINOP | 4818898 |
| KELLER-YOUNG, SUZANNE | OPERATIONS MANAGER | 5495492 |
| PICKENS, DANIEL NEHIL | PRINCIPAL | 1042225 |
| WENTZLER, DENNIS RAYMOND | CHIEF OPERATIONS OFFICER & AML OFFICER | 4221461 |
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.
