David S. Chapman
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.
David Shields Chapman was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1983. David had worked at 15 firms and has passed the Series 63, SIE, Series 15, Series 5, Series 3, Series 7, Series 4 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
May 3, 2012 - November 17, 2021
SILVER LEAF PARTNERS, LLC
September 7, 2011 - December 15, 2011
BROOKSTONE SECURITIES, INC.
November 15, 2010 - June 14, 2011
NORTHEAST SECURITIES, LLC
January 6, 2010 - November 29, 2010
J.W. COLE FINANCIAL, INC.
October 8, 2008 - October 24, 2008
QUANTUM SECURITIES, INC.
June 2, 2008 - July 7, 2008
BROKERSXPRESS LLC
April 14, 2004 - December 17, 2007
QUANTUM SECURITIES, INC.
June 1, 2000 - April 20, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 1, 2000 - April 20, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 23, 1998 - June 9, 2000
UBS FINANCIAL SERVICES INC.
September 24, 1997 - November 11, 1998
LEHMAN BROTHERS INC.
June 27, 1995 - September 30, 1997
RODMAN & RENSHAW INC.
August 27, 1992 - July 7, 1995
J.P. MORGAN SECURITIES LLC
January 23, 1991 - September 17, 1992
SALOMON BROTHERS INC.
January 2, 1991 - January 24, 1991
WELLS FARGO CLEARING SERVICES, LLC
October 20, 1986 - January 15, 1991
SALOMON BROTHERS INC.
September 24, 1985 - October 24, 1986
DREXEL BURNHAM LAMBERT INCORPORATED
November 25, 1983 - September 24, 1985
THOMSON MCKINNON SECURITIES 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
Series 15
Date: 1/9/1987
Foreign Currency Options ExaminationSeries 5
Date: 1/7/1987
Interest Rate Options ExaminationCurrent Firm
SILVER LEAF PARTNERS, LLC
CRD#: 126694 / SEC#: , 8-65902
Contact information
FINRA licenses (50 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
