Jeffrey S. Chapman
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.
Jeffrey Stewart Chapman was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1986. Jeffrey had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2016 - March 22, 2017
ROSS, SINCLAIRE & ASSOCIATES, LLC
April 4, 2011 - October 17, 2014
THE HUNTINGTON INVESTMENT COMPANY
July 30, 1998 - February 11, 2011
FIFTH THIRD SECURITIES, INC.
July 8, 1998 - October 14, 1998
FIFTH THIRD SECURITIES, INC.
June 11, 1998 - July 23, 1998
FIFTH THIRD SECURITIES, INC.
June 8, 1993 - February 17, 1995
FIFTH THIRD SECURITIES, INC.
January 22, 1992 - April 28, 1993
SOCIETY INVESTMENTS, INC.
January 3, 1986 - February 24, 1986
THE HUNTINGTON INVESTMENT COMPANY
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
ROSS, SINCLAIRE & ASSOCIATES, LLC
CRD#: 25440 / SEC#: 801-78513, 8-41740
Contact information
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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