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Steve Dale Heath

Chelsea Financial Services

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About Steve Dale Heath

Steve Dale Heath is a financial advisor who has been in the industry since 2000. Steve is currently registered with Chelsea Financial Services, where Steve has been employed since May 2021. Steve is also registered in Virginia. Previously, Steve was employed by Capitol Securities Management, Inc., LPL Financial LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Wachovia Securities, LLC, First Union Capital Markets Corp. and Wheat, First Securities, Inc. Steve has passed the Series 30, Series 31, Series 63, Series 65 and Series 7 exams.

Firm Information

Steve Heath is currently registered with Chelsea Financial Services. Chelsea Financial Services is a corporation formed on May 5, 1999. The firm is registered in all 50 states and the District of Columbia, as well as with the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

39

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Steve Heath’s Registration & Firm History

NY

05/20/2021 - Present

Chelsea Financial Services (STATEN ISLAND NY)

NY

08/31/2017 - 10/07/2020

CHELSEA FINANCIAL SERVICES (STATEN ISLAND NY)

VA

10/21/2014 - 12/31/2016

CAPITOL SECURITIES MANAGEMENT, INC. (Newport News VA)

VA

04/18/2008 - 09/17/2014

LPL FINANCIAL LLC (NEWPORT NEWS VA)

VA

03/31/2006 - 04/22/2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEWPORT NEWS VA)

MO

10/01/1999 - 04/03/2006

WACHOVIA SECURITIES, LLC (ST. LOUIS MO)

NC

09/17/1998 - 10/01/1999

FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)

NC

04/16/1998 - 04/17/1998

WHEAT, FIRST SECURITIES, INC. (CHARLOTTE NC)

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Licenses & Designations

IA

Issued 06/08/2004

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/20/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/23/2003

Series 30 - NFA Branch Manager Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/02/2003

Series 31 - Futures Managed Funds Examination

BC

Issued 04/09/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 5 public disclosures for Steve Dale Heath. Review regulatory record here.
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