Burma H. 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.
Burma Hunter Chase, who also goes by Burma Anne Hunter, Burma Hunter, Burma Hunter Jeffries, was a registered financial professional .
Burma is a previously registered financial professional and started their career in finance in 1978. Burma had worked at 8 firms and has passed the Series 63 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
May 28, 2008 - December 31, 2013
PLANMEMBER SECURITIES CORPORATION
November 29, 2005 - July 28, 2006
NYLIFE SECURITIES LLC
July 8, 1997 - November 7, 2005
A. G. EDWARDS & SONS, INC.
April 5, 1993 - November 7, 2005
A. G. EDWARDS & SONS, INC.
April 8, 1992 - April 6, 1993
MARKETING ONE SECURITIES, INC.
October 8, 1990 - April 21, 1992
CAPITAL BROKERAGE CORPORATION
June 23, 1987 - September 19, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 30, 1979 - July 20, 1982
CITIGROUP GLOBAL MARKETS INC.
September 26, 1978 - July 29, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 23, 1978 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869 / SEC#: 801-39177, 8-25065
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
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869 / SEC#: 801-39177, 8-25065
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PLANMEMBER FINANCIAL CORPORATION | OWNER | |
| BOWMAN, BYRON FRANCIS | CHIEF LEGAL OFFICER & SECRETARY | 2673117 |
| HALEY, SEAN PATRICK | CHIEF COMPLIANCE OFFICER | 2837579 |
| HANSON, STEVEN R | CHIEF FINANCIAL OFFICER / FINOPS | 4854600 |
| JANEWAY, TERRALL JOSEPH | EVP/CHIEF OPERATING OFFICER | 2947154 |
| ZIEHL, JON MICHAEL | PRESIDENT | 707642 |
Regulatory assets under management
| Total Number of Accounts | 68,978 |
| AUM (Assets Under Management) | $ 9,035,509,268 |
Disclosures
| Regulatory Event | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/21/2022 | ||
| 12/21/2022 |
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.
