CM
Chase F. Maricle
ALLIANZ LIFE FINANCIAL SERVICES
Minneapolis, MN 55416
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CRD#: 7494951
CM
Professional summary
Chase Francis Maricle is a registered financial professional currently at ALLIANZ LIFE FINANCIAL SERVICES, LLC located in Minneapolis, Minnesota.
Chase is registered as a RR (Registered Representative) and started their career in finance in 2022. Chase has worked at 1 firm and has passed the Series 63, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Chase Francis Maricle's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 10, 2022 - Present
ALLIANZ LIFE FINANCIAL SERVICES, LLC
Office #1: 5701 Golden Hills Drive, Minneapolis, MN 55416BD
CRD#: 612
Minneapolis, MN
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(6/1/2023)
RR
California(5/26/2022)
RR
Florida(6/1/2023)
RR
Kentucky(10/28/2024)
RR
Minnesota(5/10/2022)
RR
Montana(10/28/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/19/2025
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 5/10/2022
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AL
ALLIANZ LIFE FINANCIAL SERVICES, LLC
ALLIANZ LIFE FINANCIAL SERVICES, LLC | USALLIANZ INVESTOR SERVICES, LLC | NALAC FINANCIAL PLANS, LLC | NALAC FINANCIAL PLANS, INC.
CRD#: 612 / SEC#: , 8-13630
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
5701 Golden Hills Drive, Minneapolis, MN 55416-1297
Mailing Address
P O Box 1117, Minneapolis, MN 55440-1117
Phone number
(763) 765-6500
Established
Minnesota since 11/20/1996
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICA | OWNER | |
| DIAN, MATTHEW CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2246088 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| HELMEN, JOHN CURTIS | ASSISTANT VICE PRESIDENT, DISTRIBUTION NATIONAL ACCOUNTS | 4988276 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER | 4241291 |
| THOMES, ERIC JON | CHIEF EXECUTIVE OFFICER | 4645308 |
| WALTHER, COREY JAY | PRESIDENT | 2398952 |
| WYSOCKI, REBECCA | PRINCIPAL FINANCIAL OFFICER | 6558204 |
| WYSOCKI, REBECCA | CHIEF FINANCIAL OFFICER | 6558204 |
| WYSOCKI, REBECCA | PRINCIPAL OPERATIONS OFFICER | 6558204 |
Disclosures
| Regulatory Event | 1 |
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.
