Sterling Frank Chappell Iii
Professional Summary
Sterling Frank Chappell III was a registered financial advisor. Sterling was a previously registered financial professional and started their career in finance 1983 - 2017. Sterling had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 27, Series 24 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
42 years in the financial services industry
Current & Past Employments
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Current Firm
MANEX ADVISORS, INC | SWS ADVISORS, INC.
Contact Information
Main Address
1900 Polaris Parkway, Suite 450, Columbus, OH 43240Phone Number
(614) 438-5300# of Employees
7Documents
Regulatory Assets Under Management
Total Number of Accounts
570AUM (Assets Under Management)
$59,960,000Similar Advisors
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Dec 1983About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Jul 1986About the Series 26 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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