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Chase Floyd

The Financial Chase LLC

Phoenix, AZ

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Current Employers
The Financial Chase Llc

3920 E Indian School Rd Suite 8, Phoenix, AZ 85018 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2020-05-05
AZ RA APPROVED 2018-03-29
  • TX RA
    APPROVED
    Since 2020-05-05
  • AZ RA
    APPROVED
    Since 2018-03-29

Branch Locations

3920 E Indian School Rd Suite 8, Phoenix, AZ 85018 • 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
Floyd Financial Services Llc Houston TX 01/2015 Present
  • 01/2015 → Present
    Floyd Financial Services Llc
    Houston, TX
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-03-11
S63 Uniform Securities Agent State Law Examination 2011-06-28
  • S65 Uniform Investment Adviser Law Examination
    2015-03-11
  • S63 Uniform Securities Agent State Law Examination
    2011-06-28
Other Names
  • Chase Rufus Floyd

View on SEC IAPD

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