Gene E. Faddis
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.
Gene Eric Faddis was a registered financial professional .
Gene is a previously registered financial professional and started their career in finance in 1981. Gene had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 19, 2006 - March 17, 2017
CHESTNUT INVESTMENT ADVISORY
January 3, 2006 - October 1, 2015
TRIAD ADVISORS LLC
September 20, 1996 - July 25, 2006
INDEPENDENT ADVISERS GROUP CORP
March 31, 1987 - December 31, 2005
OSAIC FS, INC.
March 21, 1986 - April 7, 1987
CADARET, GRANT & CO., INC.
September 3, 1982 - December 19, 1984
CADARET, GRANT & CO., INC.
August 28, 1981 - December 2, 1982
INDEPENDENT FINANCIAL PLANNERS 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
CHESTNUT INVESTMENT ADVISORY
CRD#: 118582 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 27 |
| AUM (Assets Under Management) | $ 23,379,089 |
Red Flags
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