Stephen H. Chipman
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.
Stephen Henry Chipman, who also goes by Steve Chipman, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1982. Stephen had worked at 17 firms and has passed the Series 65, Series 63, Series 99TO, Series 79TO, SIE, Series 7 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 20, 2023 - March 23, 2023
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 16, 2023 - March 23, 2023
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 11, 2020 - February 2, 2023
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
May 1, 2020 - February 2, 2023
CAMBRIDGE INVESTMENT RESEARCH, INC.
May 17, 2017 - October 1, 2019
WOODBURY FINANCIAL SERVICES, INC.
April 26, 2017 - October 1, 2019
OSAIC SERVICES, INC.
April 26, 2017 - October 1, 2019
OSAIC WEALTH, INC.
April 26, 2017 - October 1, 2019
FSC SECURITIES CORPORATION
April 26, 2017 - October 1, 2019
WOODBURY FINANCIAL SERVICES, INC.
April 26, 2017 - October 1, 2019
OSAIC SERVICES, INC.
April 26, 2017 - October 1, 2019
OSAIC WEALTH, INC.
April 26, 2017 - October 1, 2019
FSC SECURITIES CORPORATION
April 6, 2006 - December 31, 2016
FOOTHILL SECURITIES, INC.
April 6, 2006 - December 31, 2016
FOOTHILL SECURITIES, INC.
October 9, 2003 - April 18, 2006
PERSHING LLC
September 1, 1999 - October 9, 2003
BNY CLEARING SERVICES LLC
May 14, 1998 - June 25, 1999
WELLS FARGO CLEARING SERVICES, LLC
March 4, 1997 - April 14, 1998
ROUND HILL SECURITIES, INC.
December 13, 1991 - February 28, 1997
NORCROSS & COMPANY
January 3, 1989 - February 28, 1992
CENPAC SECURITIES CORP.
May 31, 1988 - December 22, 1988
HIBBARD BROWN & CO., INC.
February 4, 1987 - May 28, 1988
SHERWOOD CAPITAL, INC.
October 20, 1982 - February 10, 1987
FIRST JERSEY SECURITIES, INC.
Primary Firm SEC Registration
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
