Steven G. Mais
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 Gerard Mais was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1980. Steven had worked at 4 firms and has passed the Series 65, Series 63, Series 2 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 8, 1997 - December 31, 2025
THE CHARTIST
March 14, 1987 - April 15, 1987
PRUDENTIAL-BACHE CAPITAL FUNDING PUERTO RICO INC.
June 9, 1983 - April 3, 1992
PRUDENTIAL EQUITY GROUP, LLC
July 1, 1980 - June 8, 1983
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
THE CHARTIST
CRD#: 105072 / SEC#: 801-11714
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 2
Date: 6/8/1995
Non-Member General Securities ExaminationCurrent Firm
THE CHARTIST
CRD#: 105072 / SEC#: 801-11714
Contact information
SEC notice filing (7 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 479 |
| AUM (Assets Under Management) | $ 179,132,160 |
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.
