Norman L. Chapa
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.
Norman Lopez Chapa was a registered financial professional .
Norman is a previously registered financial professional and started their career in finance in 1985. Norman had worked at 5 firms and has passed the Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 1992 - July 9, 1992
D.E. FREY & COMPANY, INC.
April 3, 1990 - June 29, 1990
LEHMAN BROTHERS INC.
May 24, 1988 - July 26, 1989
UBS FINANCIAL SERVICES INC.
August 28, 1985 - May 26, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 19, 1985 - March 7, 1988
MAY & O'CONNOR CAPITAL 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 8
Date: 6/5/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
D.E. FREY & COMPANY, INC.
CRD#: 23595 / SEC#: , 8-40582
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Civil Event | 4 |
| Arbitration | 8 |
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.
