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R. Alan Chase

Thurston Springer Advisors

Santa Cruz, CA

Indianapolis, IN

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Current Employers
Thurston Springer Advisors

9000 Keystone Crossing Seventh Floor, Indianapolis, IN 46240 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2020-11-24
  • CA RA
    APPROVED
    Since 2020-11-24

Branch Locations

877 Cedar Street Suite W, Santa Cruz, CA 95060 • United States

9000 Keystone Crossing Seventh Floor, Indianapolis, IN 46240 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Thurston Springer Miller Herd & Titak Santa Cruz CA 07/2015 Present
  • 07/2015 → Present
    Thurston Springer Miller Herd & Titak
    Santa Cruz, CA
Previous Registrations
  • 2012-06-13 → 2015-07-17
    Jhs Capital Advisors, Llc
    Tampa, FL
    Santa Cruz, CA
    Tampa, FL
    Tampa, FL
    Portland, OR
    Portland, OR
    Tampa, FL
    Summit, NJ
Other Businesses

DBA ONTRACK CAPITAL MANAGEMENT FOR PURPOSES OF NAME RECOGNITION.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-06-12
S63 Uniform Securities Agent State Law Examination 2007-03-27
  • S66 Uniform Combined State Law Examination
    2012-06-12
  • S63 Uniform Securities Agent State Law Examination
    2007-03-27
Other Names
  • Alan Chase

View on SEC IAPD

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Other Offices

MORGAN STANLEY · Santa Cruz, CA
EDWARD JONES · SCOTTS VALLEY, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Scotts Valley, CA
CETERA INVESTMENT ADVISERS LLC · SCOTTS VALLEY, CA
J.P. MORGAN SECURITIES LLC · SCOTTS VALLEY, CA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Scotts Valley, CA
VALIC FINANCIAL ADVISORS, INC. · SCOTTS VALLEY, CA
EDWARD JONES · SCOTTS VALLEY, CA

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