Vance S. Chavez
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.
Vance Steven Chavez was a registered financial professional .
Vance is a previously registered financial professional and started their career in finance in 1982. Vance had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2014 - September 12, 2017
CAMBRIDGE INVESTMENT RESEARCH, INC.
May 4, 2001 - December 31, 2003
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 23, 2001 - October 13, 2014
TRANSAMERICA FINANCIAL ADVISORS, LLC
December 17, 2000 - March 19, 2001
WELLS FARGO BROKERAGE SERVICES, L.L.C.
December 13, 2000 - March 19, 2001
WELLS FARGO INVESTMENTS, LLC
September 13, 1993 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
December 1, 1989 - September 13, 1993
CAL FED INVESTMENTS
October 20, 1989 - December 5, 1989
INTEGRATED RESOURCES INVESTMENT CENTERS, INC.
July 2, 1987 - June 13, 1989
GAF FINANCIAL AND INSURANCE SERVICES
March 26, 1986 - October 31, 1989
PAMCO SECURITIES AND INSURANCE SERVICES
April 2, 1985 - March 17, 1986
WALL STREET WEST, INC.
January 11, 1983 - March 29, 1985
HANIFEN, IMHOFF INC.
June 18, 1982 - January 4, 1983
ENGLER-BUDD & COMPANY INC.
January 21, 1982 - June 9, 1982
OTC NET INCORPORATED
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
CAMBRIDGE INVESTMENT RESEARCH, INC.
CRD#: 39543 / SEC#: , 8-48740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAMBRIDGE INVESTMENT GROUP, INC. | SHAREHOLDER/HOLDING COMPANY | |
| BELL, COLLEEN MCGUIRE | PRESIDENT INNOVATION AND EXPERIENCE; DIRECTOR | 5077188 |
| BOEN, RYAN | EVP, CHIEF FINANCIAL OFFICER/FINOP, PRINCIPAL OPERATIONS OFFICER | 7842316 |
| KUHLMAN, RICHARD HENRY | SVP, CHIEF LEGAL OFFICER | 7076563 |
| MILLER, SETH AARON | PRESIDENT ADVOCACY & ADMINISTRATION; GENERAL COUNSEL; DIRECTOR | 5495508 |
| ROBBINS, TAMMY ANN | EXECUTIVE VICE PRESIDENT/CHIEF BUSINESS DEVELOPMENT OFFICER | 3125668 |
| ROLLINS, EDDIE THOMAS | EXECUTIVE VICE PRESIDENT, MANAGING DIRECTOR - BRIDGEPORT | 1523500 |
| SHAFER, ANDREA LYNN | EVP, CHIEF SUPERVISION OFFICER | 5448499 |
| STONE, CARLA JEAN | FIRST VICE PRESIDENT, FINANCE/CHIEF ACCOUNTING OFFICER | 3193985 |
| TURNER, GREGORY WALTER | EVP, CONSULTING SERVICES | 3144311 |
| VEST, VALARIE KNOBLOCK | EVP, CHIEF EXPERIENCE OFFICER | 3074142 |
| VIVACQUA, JEFFREY FRANCIS | PRESIDENT GROWTH AND DEVELOPMENT; DIRECTOR | 2608892 |
| WEBBER, AMY LYNN | CEO, SECRETARY; DIRECTOR | 1812670 |
| YOUHN, STEPHEN MICHAEL | CHIEF COMPLIANCE OFFICER | 1414691 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 4 |
Red Flags
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