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FC

Floyd R. Chapman

FINALIS SECURITIES LLC
SAN JUAN CAPISTRANO, CA
Some features on this profile are disabled
CRD#: 1356872
FC

Professional summary

Floyd R Chapman, who also goes by Floyd Raymond Chapman, is a registered financial professional currently at FINALIS SECURITIES LLC located in San Juan Capistrano, California.

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"?
No

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.
The advisor shows no other business activity.

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

BD
CRD#: 305908
SAN JUAN CAPISTRANO, CA
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

BD
CRD#: 290605
Tacoma, WA
Past

July 21, 2020 - March 9, 2021

AMERIVET SECURITIES, INC.

BD
CRD#: 34786
NEW YORK, NY
Past

May 11, 2018 - September 3, 2019

IFS SECURITIES

BD
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

BD
CRD#: 140356
NEWPORT BEACH, CA
Past

June 10, 2015 - April 28, 2016

HB SECURITIES, LLC

BD
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

BD
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

BD
CRD#: 5167
HONOLULU, HI
Past

February 25, 2002 - June 14, 2002

THE CHAPMAN CO.

BD
CRD#: 19178
COLUMBIA, MD
Past

August 2, 2001 - February 20, 2002

FIRST GLOBAL SECURITIES, INC.

BD
CRD#: 28612
PASADENA, CA
Past

March 22, 1996 - August 1, 2001

ZAHORIK COMPANY, INC.

BD
CRD#: 8580
PASADENA, CA
Past

December 7, 1993 - August 9, 1994

DOLEY SECURITIES, LLC.

BD
CRD#: 7081
NEW ORLEANS, LA
Past

May 18, 1992 - February 9, 1993

KENNEDY, CABOT & CO.

BD
CRD#: 2417
BEVERLY HILLS, CA
Past

March 5, 1991 - June 18, 1991

FIRST CHOICE SECURITIES CORP.

BD
CRD#: 17021
Past

August 29, 1990 - November 7, 1990

CARTWRIGHT SECURITIES, INC.

BD
CRD#: 10816
Past

November 2, 1987 - November 14, 1988

AMI SECURITIES, INC.

BD
CRD#: 13412
Past

August 13, 1987 - November 17, 1987

KENNEDY, CABOT & CO.

BD
CRD#: 2417
Past

April 9, 1986 - December 5, 1986

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

BD
CRD#: 14229
Past

July 24, 1985 - January 23, 1986

INTERFIRST CAPITAL CORPORATION

BD
CRD#: 7659

State Registrations and Notice Filings

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

RR
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

RR
New York
(7/18/2025)
RR
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
RR
Series 63
Date: 5/23/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 6/30/2025
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 50
Date: 12/22/2017
Municipal Advisor Representative Qualification Exam
General Industry/Product Exam
RR
Series 7
Date: 7/20/1985
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 8/21/2001
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 6/6/1994
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/22/1987
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 10/9/1987
Registered Options Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FS
FINALIS SECURITIES LLC
DEALSYTE SECURITIES LLC | FINALIS SECURITIES LLC

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

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

Main Address
450 Lexington Ave, New York, NY 10017
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FINALIS, INC.HOLDING COMPANY
BRANT, DAVID ROBERTFINOP2718478
DIGIGLIO, JOSEPH ANDREWCCO4945031
MORA, MICHAEL JOHNCEO2648236

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.

Company Information

FINALIS SECURITIES LLC

CRD#: 305908San Juan Capistrano, CA

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