Sterling F. 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.
Sterling Frank Chappell III was a registered financial professional .
Sterling is a previously registered financial professional and started their career in finance in 1983. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 24, 2015 - July 24, 2017
SWS ADVISORS, INC.
November 24, 2015 - July 24, 2017
OMNI FINANCIAL SECURITIES, INC.
January 4, 2011 - November 12, 2015
PRIMESOLUTIONS SECURITIES, INC.
January 3, 2011 - November 12, 2015
PRIMESOLUTIONS SECURITIES, INC.
February 15, 2000 - December 31, 2010
AMVEST SECURITIES, INCORPORATED
April 29, 1987 - December 31, 2010
AMVEST SECURITIES, INCORPORATED
December 7, 1983 - January 8, 1986
PFS INVESTMENTS 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
SWS ADVISORS, INC.
CRD#: 120054 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 580 |
| AUM (Assets Under Management) | $ 50,618,150 |
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.
