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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)21 years in industry

Stephen Michael Chanez

Advisor at CITIGROUP GLOBAL MARKETS INC.

Lake St. Louis, MO | New York, NY | O'Fallon, MO

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Search this name across graphsid dfx:ria:19237ae7-aead-4874-d76f-aa875925a913

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Apr 3, 2007 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CITIGROUP GLOBAL MARKETS INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 28, 2004earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66|S63
First exam: Oct 28, 2004
First registration: Apr 3, 2007
Dual registered: yes, broker-dealer
Other names: Stephen Michael Chanez|STEPHEN CHANEZ
IAPD individual key: 4773738

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Dec 8, 2025	n/a	yes	New York, NY\|O'Fallon, MO\|Lake St. Louis, MO	Current employment
COMPASS WEALTH	Independent wealth	May 1, 2024	Dec 8, 2025	no	ST. LOUIS, MO	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Nov 29, 2021	Apr 18, 2024	no	O'Fallon, MO\|New York, NY	Previous registration
PROSPERITY CAPITAL ADVISORS	Independent wealth	Dec 5, 2019	Nov 30, 2021	no	WESTLAKE, OH\|St. Louis, MO	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Apr 3, 2007	Dec 11, 2019	no	Phoenix, AZ\|Phoenix, AZ\|PHOENIX, AZ\|Chesterfield, MO\|Clayton, MO	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
COMPASS WEALTH	CITIGROUP GLOBAL MARKETS INC.	Dec 8, 2025	Dec 8, 2025	0	Firm change	RIA to ibd
CITIGROUP GLOBAL MARKETS INC.	COMPASS WEALTH	Apr 18, 2024	May 1, 2024	13	Firm change	Ibd to RIA
PROSPERITY CAPITAL ADVISORS	CITIGROUP GLOBAL MARKETS INC.	Nov 30, 2021	Nov 29, 2021	-1	Firm change	RIA to ibd
CHARLES SCHWAB & CO., INC.	PROSPERITY CAPITAL ADVISORS	Dec 11, 2019	Dec 5, 2019	-6	Firm change	Ibd to RIA

Relationships

Registered with (4)

→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Nov 29, 2021 to Apr 18, 2024factForm ADV
→ COMPASS WEALTHRegistered adviserregistration: previous registration
May 1, 2024 to Dec 8, 2025factForm ADV
→ PROSPERITY CAPITAL ADVISORSRegistered adviserregistration: previous registration
Dec 5, 2019 to Nov 30, 2021factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Apr 3, 2007 to Dec 11, 2019factForm ADV

Dated events

Occurred
Dec 8, 2025
Advisor changed firm
Stephen Michael Chanez left Compass Wealth for Citigroup Global Markets Inc. (registered 2025-12-08)
Form ADVobserved 5 days ago
Occurred
Apr 18, 2024
Advisor changed firm
Stephen Michael Chanez left Citigroup Global Markets Inc. for Compass Wealth (registered 2024-05-01)
Form ADVobserved 5 days ago