Cynthia A. 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.
Cynthia Ann Chase, who also goes by Cynthia Ann Ballentine, Manoi Chase, Moimou Chase, Cynthia Ann Jeppesen, Cynthia Ann Mamoi, was a registered financial professional .
Cynthia is a previously registered financial professional and started their career in finance in 1978. Cynthia had worked at 10 firms and has passed the Series 63, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 16, 2011 - December 9, 2013
WELLS INVESTMENT SECURITIES,INC.
June 17, 2003 - July 21, 2008
WELLS INVESTMENT SECURITIES,INC.
February 14, 2001 - December 12, 2002
CUSO FINANCIAL SERVICES, L.P.
September 3, 1993 - February 8, 1999
FORESTERS EQUITY SERVICES, INC.
November 7, 1990 - August 20, 1993
WINDSOR GROUP SECURITIES
May 17, 1986 - October 30, 1990
LPL FINANCIAL LLC
December 10, 1983 - February 24, 1986
LEHMAN BROTHERS INC.
January 26, 1979 - December 7, 1983
FOSTER & MARSHALL INC.
October 19, 1978 - February 20, 1979
AMERICAN EXPRESS FINANCIAL CORPORATION
October 19, 1978 - February 20, 1979
AMERIPRISE FINANCIAL SERVICES, LLC
October 19, 1978 - February 20, 1979
IDS LIFE INSURANCE COMPANY
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 1
Date: 10/11/1978
Registered Representative ExaminationCurrent Firm
WELLS INVESTMENT SECURITIES,INC.
CRD#: 15252 / SEC#: , 8-31924
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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