Maxine H. Chappell
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Maxine Hughes Chappell, who also goes by Max H Chappel, Maxine Hughes, was a registered financial advisor .
Maxine is a previously registered financial advisor and started their career in finance in 1982. Maxine had worked at 5 firms and has passed the Series 63, Series 7, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 31, 1998 - November 21, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 31, 1997 - November 21, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 17, 1997 - November 4, 1997
SUNSET FINANCIAL SERVICES, INC.
September 11, 1995 - August 1, 1997
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 28, 1995 - August 4, 1995
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 25, 1991 - September 11, 1995
INVEST FINANCIAL CORPORATION
April 19, 1991 - July 17, 1991
CETERA INVESTMENT SERVICES LLC
April 11, 1986 - December 16, 1986
CARDELL & ASSOCIATES, INCORPORATED
March 30, 1982 - June 28, 1984
RAYMOND JAMES FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
