# EDGAR Filing Document

**Accession Number:** 0001496738
**File Stem:** 0001496738-26-000001
**Filing Date:** 2026-2
**Character Count:** 14175
**Document Hash:** 3d3a6ca5bdd26b03b377cee5e5f48606
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001496738-26-000001.hdr.sgml**: 20260304

**ACCESSION NUMBER**: 0001496738-26-000001

**CONFORMED SUBMISSION TYPE**: MA-A

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20251231

**FILED AS OF DATE**: 20260205

**DATE AS OF CHANGE**: 20260304

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** CHURCHILL STATESIDE SECURITIES, LLC
- **CENTRAL INDEX KEY:** 0001496738

**ORGANIZATION NAME:**
- **EIN:** 271119479
- **STATE OF INCORPORATION:** GA
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** MA-A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 867-02390
- **FILM NUMBER:** 26718747

**BUSINESS ADDRESS:**
- **STREET 1:** 203 N LASALLE ST, SUITE 2100
- **STREET 2:** SUITE 225
- **CITY:** CHICAGO
- **STATE:** IL
- **ZIP:** 60601
- **BUSINESS PHONE:** 678-679-8644

**MAIL ADDRESS:**
- **STREET 1:** 203 N LASALLE ST, SUITE 2100
- **CITY:** CHICAGO
- **STATE:** IL
- **ZIP:** 60601

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** CHURCHILL STATESIDE SECURITIES, LLC.
- **DATE OF NAME CHANGE:** 20120517

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** STATESIDE SECURITIES, LLC
- **DATE OF NAME CHANGE:** 20110314

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** AHTC SECURITIES, LLC
- **DATE OF NAME CHANGE:** 20110225

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM MA: UNIFORM APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION

### Filer and Contact Information

**Filer CIK:** 0001496738

**Filer CCC:** XXXXXXXX

**Contact Name:** Guy Spieler

**Contact Phone:** 312-788-2623

**Contact Email:** gspieler@cssecurities.com

**Notification Emails:** gspieler@cssecurities.com, edgar@halyardcompliance.com, welliott@cssecurities.com

### Type of Filing

**Selected Filing Type:** Annual Update

### Item 1: Identifying Information

**A. Full Legal Name of the Firm:** CHURCHILL STATESIDE SECURITIES, LLC

**&nbsp;&nbsp;&nbsp;Organization CRD No.:** 154603

**&nbsp;&nbsp;&nbsp;Is applicant a Sole Proprietor?:** No

**&nbsp;&nbsp;&nbsp;Has the municipal legal name changed since the last filing?:** No

**&nbsp;&nbsp;&nbsp;Has the applicant had any previous DBA names?:** No

**&nbsp;&nbsp;&nbsp;Does the applicant have any additional DBA names?:** No

**C. IRS Employer Identification Number:** 27-1119479

**D. Registrations:**

- **Municipal Advisor:** SEC File No: 867-02390

- **Broker-Dealer:** SEC File No: 008-68652, CRD No: 154603

**E. Principal Office and Place of Business:** 203 N. LaSalle Street, SUITE 2100, Chicago, IL, 60601

**Telephone Number:** 312-788-2623

**Mailing Address is Different from Principal Office:** No

**F. Website:** www.csgfirst.com

**G. Chief Compliance Officer (CCO):**

**Name:** Wendy-Sue N/A Elliott

**Titles:** Chief Compliance Officer

**Address:** 440 Grooms Rd, Clifton Park, NY, 12065

**Phone Number:** 678-679-8644

**Email:** welliott@cssecurities.com

**I. Location of Books and Records:** No

### Item 2: Form of Organization

**A. Applicant's form of organization:** Limited Liability Company (LLC)

**B. Month of Applicant's Annual Fiscal Year End:** December

**C. State, Other U.S. Jurisdiction, or Foreign Jurisdiction Under Which Applicant is Organized:** GA

**D. Date of Organization:** 10-13-2009

**E. Is the applicant a public reporting company?:** No

### Item 3: Successions

**Is the applicant succeeding to the business of a registered municipal advisor?** No

### Item 4: Information About Applicant's Business

**A. Number of Employees:** 3

**B. Municipal Advisory Activities - Employees:** 1

**C. Registered Representatives - MAA Employees also registered reps of a broker-dealer:** 1

**&nbsp;&nbsp;&nbsp;MAA Employees also associated with an investment adviser:** 0

**D. Public Relations Company?:** No

**E. Soliciting on Behalf of an Affiliate - Number of firms:** 0

**F. Types of Clients - Number of clients served as municipal advisor:** 0

**&nbsp;&nbsp;&nbsp;Types of Clients:** Not Applicable

**G. Solicitation of Municipal Entities and Obligated Persons - Municipal Entities:** 0

**&nbsp;&nbsp;&nbsp;Obligated Persons:** 0

**&nbsp;&nbsp;&nbsp;Total Solicited:** 0

**H. Types of Persons Solicited:** 
Other
, Other

**I. Compensation Arrangements (Municipal Advisory):** 
Not Applicable
, Not Applicable

**J. Compensation Arrangements (Solicitation):** 
Other
, Other

**K. Does the applicant receive compensation in the context of its municipal advisory business from other than its municipal entity or obligated person clients?:** Yes

**L. Applicant Business Relating to Municipal Securities:** Advice On Selection

### Item 5: Other Business Activities

- **Broker-Dealer:** Actively Engaged: Yes, Primary Business: Yes

**Is applicant engaged in any other non-municipal advisor business?** No

### Item 6: Financial Industry and Other Activities of Associated Persons

**Types of associated persons:** 

**Total Associated Persons:** 0

### Item 7: Participation or Interest in Client Transactions

- **Buy or sell municipal securities from or to municipal advisory clients for the firm's own account?:** No

- **Buy or sell municipal securities from or to third-parties on behalf of clients?:** No

- **Enter into derivatives transactions with clients for the firm's own account?:** No

- **Recommend to clients to buy/sell securities in which the firm has a financial interest?:** No

- **Recommend to clients products/services of an affiliated person?:** No

- **Recommend to clients securities of an issuer with which the firm has other relationships?:** No

- **Have discretionary authority to buy/sell municipal securities for clients?:** No

- **Have discretionary authority to buy/sell any other securities or investments for clients?:** No

- **Have discretionary authority to determine the broker-dealer to be used for client transactions?:** No

- **Have discretionary authority to determine the commission paid to a broker-dealer?:** No

- **Recommend broker-dealers to clients?:** Yes

- **&nbsp;&nbsp;&nbsp;If yes, are any of these broker-dealers an associated person of the applicant?:** No

- **Compensate any person for client referrals?:** No

- **Receive compensation from any person for client referrals?:** Yes

### Item 8: Owners, Officers, and Other Control Persons

**A. (2) Does any person not named in Item 1-A or Schedules A, B, or C, directly or indirectly, control the applicant's management or policies?** No

**B. (1) Is any person in Schedule A, B, or C, or in Section 8-A of Schedule D a public reporting company?** No

### Item 9: Disclosure Information

**Criminal Disclosure:**

- **Applicant/Advisory Affiliate Convicted/Pled Guilty to Felony?:** No

- **Applicant/Advisory Affiliate Charged with Felony?:** No

- **Organization Convicted/Pled Guilty to Felony?:** No

- **Organization Charged with Felony?:** No

**Regulatory Disclosure:**

- **SEC/CFTC Found False Statement?:** No

- **SEC/CFTC Found Violation?:** No

- **SEC/CFTC Found Cause of Denial/Suspension?:** No

- **SEC/CFTC Entered Order?:** No

- **SEC/CFTC Imposed Civil Penalty?:** No

- **SRO Found Unethical Conduct?:** No

- **SRO Found Violation?:** No

- **SRO Found Cause of Denial/Suspension?:** No

- **SRO Barred/Suspended/Fined > $2,500?:** No

- **SRO Denied/Suspended/Revoked Registration?:** No

- **Foreign Authority Found False Statement?:** No

- **Foreign Authority Found Violation?:** No

- **Foreign Authority Found Cause of Suspension?:** No

- **Foreign Authority Disciplined?:** No

- **Authorization to Act as Attorney/Accountant Revoked?:** No

- **Subject of a Regulatory Complaint?:** No

**Civil Disclosure:**

- **Enjoined in Connection with Municipal Advisory Activity?:** No

- **Found to Have Violated Regulations?:** No

- **Civil Proceeding Dismissed Pursuant to Settlement?:** No

- **Named in Civil Proceeding Alleging Violation?:** No

### Item 10: Small Businesses

**Does the applicant have annual receipts of less than $7,000,000?** Yes

**Is the applicant affiliated with a person that has annual receipts of more than $7,000,000?** No

### Schedule A: Direct Owners and Executive Officers

| Name                          | Title/Status                                                             | Date Acquired   | Ownership Code           | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|
| CHURCHILL STATESIDE GROUP,LLC | Member                                                                   | 07-01-2012      | E - 75% or more          | No                | 27-3972279   |  |
| STATESIDE CAPITAL, LLC        | Member                                                                   | 10-01-2009      | A - 5% but less than 10% | No                | 20-1303548   |  |
| Guy Keith Spieler             | President                                                                | 04-18-2023      | NA - less than 5%        | Yes               |  | 1497039      |
| David Gerard Carr             | Principal Financial Officer (PFO) and Principal Operations Officer (POO) | 04-01-2021      | NA - less than 5%        | No                |  | 6560728      |
| WENDY SUE ELLIOTT             | Chief Compliance Officer (CCO)                                           | 05-01-2023      | NA - less than 5%        | No                |  | 5790567      |

### Schedule B: Indirect Owners

| Owning Entity                  | Name                           | Title/Status    | Date Acquired   | Ownership Code                                          | Control Person?   | IRS Number   |
|:---|:---|:---|:---|:---|:---|:---|
| STATESIDE CAPITAL, LLC         | CHURCHILL STATESIDE GROUP, LLC | Managing Member | 07-01-2012      | E - 75% or more                                         | No                | 05-0530129   |
| CHURCHILL STATESIDE GROUP, LLC | CHARTWELL FINANCIAL, LLC       | Member          | 09-01-2015      | E - 75% or more                                         | No                | 47-4797240   |
| CHURCHILL FINANCIAL LLC        | Devin Marek Sanderson          | Member          | 07-01-2012      | F - Other (general partner, trustee, or elected member) | No                |  |
| CHURCHILL FINANCIAL, LLC.      | Keith J GLOECKL                | Member          | 07-01-2012      | E - 75% or more                                         | No                |  |
| CHARTWELL FINANCIAL, LLC       | Keith J GLOECKL                | Member          | 09-01-2015      | E - 75% or more                                         | No                |  |
| CHARTWELL FINANCIAL, LLC       | Devin Marek Sanderson          | Member          | 09-01-2015      | F - Other (general partner, trustee, or elected member) | No                |  |

### Schedule C: Amendments to Schedules A and B

| Type   | Ownership   | Owning Entity                  | Name                           | Title/Status                                                             | Date Acquired   | Ownership Code                                          | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|
|  | Direct      |  | CHURCHILL STATESIDE GROUP,LLC  | Member                                                                   | 07-01-2012      | E - 75% or more                                         | No                | 27-3972279   |  |
|  | Direct      |  | STATESIDE CAPITAL, LLC         | Member                                                                   | 10-01-2009      | A - 5% but less than 10%                                | No                | 20-1303548   |  |
|  | Indirect    | STATESIDE CAPITAL, LLC         | CHURCHILL STATESIDE GROUP, LLC | Managing Member                                                          | 07-01-2012      | E - 75% or more                                         | No                | 05-0530129   |  |
|  | Indirect    | CHURCHILL STATESIDE GROUP, LLC | CHARTWELL FINANCIAL, LLC       | Member                                                                   | 09-01-2015      | E - 75% or more                                         | No                | 47-4797240   |  |
|  | Direct      |  | Guy Keith Spieler              | President                                                                | 04-18-2023      | NA - less than 5%                                       | Yes               |  | 1497039      |
|  | Direct      |  | David Gerard Carr              | Principal Financial Officer (PFO) and Principal Operations Officer (POO) | 04-01-2021      | NA - less than 5%                                       | No                |  | 6560728      |
|  | Direct      |  | WENDY SUE ELLIOTT              | Chief Compliance Officer (CCO)                                           | 05-01-2023      | NA - less than 5%                                       | No                |  | 5790567      |
|  | Indirect    | CHURCHILL FINANCIAL LLC        | Devin Marek Sanderson          | Member                                                                   | 07-01-2012      | F - Other (general partner, trustee, or elected member) | No                |  | 6112622      |
|  | Indirect    | CHURCHILL FINANCIAL, LLC.      | Keith J GLOECKL                | Member                                                                   | 07-01-2012      | E - 75% or more                                         | No                |  | 1879398      |
|  | Indirect    | CHARTWELL FINANCIAL, LLC       | Keith J GLOECKL                | Member                                                                   | 09-01-2015      | E - 75% or more                                         | No                |  | 1879398      |
|  | Indirect    | CHARTWELL FINANCIAL, LLC       | Devin Marek Sanderson          | Member                                                                   | 09-01-2015      | F - Other (general partner, trustee, or elected member) | No                |  | 6112622      |

### Execution Page

**Signature:** Guy Spieler

**Signer Name:** Guy Spieler

**Title:** Principal

**Date:** 02-05-2026

**CRD Number:** 1497039