Floyd R. Chapman

FINALIS SECURITIES LLC

New York, NY 10003

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CRD#: 1356872

Professional summary

Floyd R Chapman, who also goes by Floyd Raymond Chapman, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.

Floyd is registered as a RR (Registered Representative) and started their career in finance in 1985. Floyd has worked at 20 firms and has passed the Series 65, Series 63, Series 79TO, Series 52TO, Series 99TO, SIE, Series 50, Series 7, Series 53, Series 27, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Floyd Raymond Chapman

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.

LAW OFFICE OF FLOYD CHAPMAN, PLLC, NOT INVESTMENT-RELATED, 1201 PACIFIC AVE., SUITE 600, TACOMA WA 98402. LAW PRACTICE, ATTORNEY. STARTED 01/2015. 40 HOURS PER MONTH, 20 HOURS DURING SECURITIES TRADING HOURS. MANAGING MEMBER. Thurston County Racial Equity and Inclusion Council, Not Investment Related, 3000 Pacific Avenue SE Olympia WA 98501, County Council to Address Racism and Increase Diversity Outcomes, Co-Chair, None, 1st Quarter 2024, 4 Hours per Month, None during Securities Trading Hours, Policy Development ChargeHub Dynamics, Inc., Not Investment Related. 4247 Bogey Drive, Lacey WA 98516. EV and Alternative Energy, April 2024, Founder Advisor. 2 hours per month. None during securities trading hours. Mentor and adviser accessing opportunities. 9836 LLC, Investment related, 1201 Pacific Avenue -Suite 600, Tacoma WA 98402, Real Estate, Managing Member, July 2021, 10 hours per month, 2 hours during securities trading, management decisions.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Floyd R Chapman's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 18, 2025 - Present

FINALIS SECURITIES LLC

Office #1: 228 Park Ave South Suite 85550, New York, NY 10003

CRD#: 305908

New York, NY

Past

March 24, 2021 - July 1, 2025

SB ADVISORY, LLC

RIA

CRD#: 154680

Tacoma, WA

Past

March 24, 2021 - July 1, 2025

SAN BLAS SECURITIES LLC

CRD#: 290605

Tacoma, WA

Past

July 21, 2020 - March 9, 2021

AMERIVET SECURITIES, INC.

CRD#: 34786

NEW YORK, NY

Past

May 11, 2018 - September 3, 2019

IFS SECURITIES

CRD#: 40375

Tacoma, WA

Past

May 7, 2018 - September 3, 2019

SB ADVISORY, LLC

RIA

CRD#: 154680

tacoma, WA

Past

March 23, 2017 - September 25, 2017

NMS CAPITAL ASSET MANAGEMENT, INC.

RIA

CRD#: 149678

Tacoma, WA

Past

March 22, 2017 - September 22, 2017

HB SECURITIES, LLC

CRD#: 140356

NEWPORT BEACH, CA

Past

June 10, 2015 - April 28, 2016

HB SECURITIES, LLC

CRD#: 140356

Tacoma, WA

Past

January 29, 2015 - December 31, 2016

NMS CAPITAL ASSET MANAGEMENT, INC.

RIA

CRD#: 149678

TACOMA, WA

Past

January 28, 2015 - August 19, 2015

NMS CAPITAL SECURITIES, LLC

CRD#: 107401

Tacoma, WA

Past

March 17, 2011 - January 9, 2015

EAGLE STRATEGIES LLC

RIA

CRD#: 110826

HONOLULU, HI

Past

August 12, 2002 - January 9, 2015

NYLIFE SECURITIES LLC

CRD#: 5167

HONOLULU, HI

Past

February 25, 2002 - June 14, 2002

THE CHAPMAN CO.

CRD#: 19178

COLUMBIA, MD

Past

August 2, 2001 - February 20, 2002

FIRST GLOBAL SECURITIES, INC.

CRD#: 28612

PASADENA, CA

Past

March 22, 1996 - August 1, 2001

ZAHORIK COMPANY, INC.

CRD#: 8580

PASADENA, CA

Past

December 7, 1993 - August 9, 1994

DOLEY SECURITIES, LLC.

CRD#: 7081

NEW ORLEANS, LA

Past

May 18, 1992 - February 9, 1993

KENNEDY, CABOT & CO.

CRD#: 2417

BEVERLY HILLS, CA

Past

March 5, 1991 - June 18, 1991

FIRST CHOICE SECURITIES CORP.

CRD#: 17021

Past

August 29, 1990 - November 7, 1990

CARTWRIGHT SECURITIES, INC.

CRD#: 10816

Past

November 2, 1987 - November 14, 1988

AMI SECURITIES, INC.

CRD#: 13412

Past

August 13, 1987 - November 17, 1987

KENNEDY, CABOT & CO.

CRD#: 2417

Past

April 9, 1986 - December 5, 1986

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

CRD#: 14229

Past

July 24, 1985 - January 23, 1986

INTERFIRST CAPITAL CORPORATION

CRD#: 7659

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(7/18/2025)

New York
(7/18/2025)

Washington
(7/18/2025)

Exams

State Security Law Exam

IAR

Series 65

Date: 3/7/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/23/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 6/30/2025

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 50

Date: 12/22/2017

Municipal Advisor Representative Qualification Exam

General Industry/Product Exam

Series 7

Date: 7/20/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 8/21/2001

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 6/6/1994

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 10/22/1987

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 10/9/1987

Registered Options Principal Examination

SRO Registrations

FINRA

Current Firm

FINALIS SECURITIES LLC

DEALSYTE SECURITIES LLC | FINALIS SECURITIES LLC

CRD#: 305908 / SEC#: , 8-70425

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

228 Park Ave South Suite 85550, New York, NY 10003

Mailing Address

228 Park Ave South Suite 85550, New York, NY 10003

Phone number

(800) 962-0418

Established

Delaware since 09/10/2019

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
FINALIS, INC.	HOLDING COMPANY
AZARY, DENNIS MICHAEL	CEO/CCO/FINOP	2384263

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Floyd R. Chapman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Floyd R Chapman's CRS (Customer Relationship Summary).

Certified licenses

Experience

SB ADVISORY, LLC

SAN BLAS SECURITIES LLC

AMERIVET SECURITIES, INC.

IFS SECURITIES

SB ADVISORY, LLC

NMS CAPITAL ASSET MANAGEMENT, INC.

HB SECURITIES, LLC

HB SECURITIES, LLC

NMS CAPITAL ASSET MANAGEMENT, INC.

NMS CAPITAL SECURITIES, LLC

EAGLE STRATEGIES LLC

NYLIFE SECURITIES LLC

THE CHAPMAN CO.

FIRST GLOBAL SECURITIES, INC.

ZAHORIK COMPANY, INC.

DOLEY SECURITIES, LLC.

KENNEDY, CABOT & CO.

FIRST CHOICE SECURITIES CORP.

CARTWRIGHT SECURITIES, INC.

AMI SECURITIES, INC.

KENNEDY, CABOT & CO.

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

INTERFIRST CAPITAL CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 3/7/1994

Series 63

Date: 5/23/1986

Series 79TO

Date: 6/30/2025

Series 52TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 50

Date: 12/22/2017

Series 7

Date: 7/20/1985

Series 53

Date: 8/21/2001

Series 27

Date: 6/6/1994

Series 24

Date: 10/22/1987

Series 4

Date: 10/9/1987

FINRA

Current Firm

FINALIS SECURITIES LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

FINALIS SECURITIES LLC

TRUST BUT VERIFY

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