Steven G. Mais
Professional summary
Steven Gerard Mais is a registered financial advisor currently at THE CHARTIST located in Los Alamitos, California.
Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1980. Steven has 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) - RIA
Click below to view Steven Gerard Mais's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 8, 1997 - Present
THE CHARTIST
Office #1: 5122 Katella Av Suite 200, Los Alamitos, CA 90720March 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.
Highlighted states indicate IAR registrations
(7/8/1997)
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
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