Gerardo Arturo Chapa
Professional Summary
Gerardo Arturo Chapa is a registered financial advisor currently at GFS ADVISORS LLC located in Houston, Texas and GLOBAL FINANCIAL SERVICES, L.L.C. located in Houston, Texas. Gerardo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Gerardo has worked at 4 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 3, Series 15, Series 5, Series 7 and Series 24...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
40 years in the financial services industry
Current & Past Employments
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Current Firm
GFS ADVISORS LLC
Contact Information
Main Address
1330 Post Oak Blvd., Suite 2100, Houston, TX 77056Phone Number
(713) 968-0400# of Employees
11SEC notice filing (12 States and Territories)
Registered to provide investment advisory services in 12 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
654AUM (Assets Under Management)
$3,761,962,187Similar Advisors
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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.
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Primary Firm SEC Registration
GFS ADVISORS LLC
State Registrations and Notice Filings
(9/21/2022)
(9/13/2022)
(8/18/2025)
(10/12/2022)
(5/10/2023)
(9/15/2022)
(9/14/2022)
(10/5/2022)
(5/30/2007)
(9/19/2022)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Sep 2000Series 15 — Foreign Currency Options Examination
Passed Mar 1986Series 5 — Interest Rate Options Examination
Passed Feb 1986SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Gerardo Arturo Chapa's CRS (Customer Relationship Summary).
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