Gerardo A. Chapa

GFS ADVISORS LLC

Houston, TX 77056

Some features on this profile are disabled

CRD#: 1451790

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 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

GFS ADVISORS LLC, INVESTMENT RELATED, ADDRESS: 1330 POST OAK BLVD., SUITE 2100, HOUSTON, TX 77056, TITLE: INVESTMENT ADVISORY REPRESENTATIVE, START DATE 5/22/2007, APPROX HRS 20/WEEK SPENT MANAGING ADVISORY ACCOUNTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gerardo Arturo Chapa'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

May 30, 2007 - Present

GFS ADVISORS LLC

Office #1: 1330 Post Oak Blvd., Suite 2100, Houston, TX 77056

RIA

CRD#: 143110

Houston, TX

Current

September 13, 2022 - Present

GLOBAL FINANCIAL SERVICES, L.L.C.

Office #1: 1330 Post Oak Blvd. Ste 2100, Houston, TX 77056-3019

CRD#: 35699

Houston, TX

Past

July 12, 1994 - August 5, 2008

GLOBAL FINANCIAL SERVICES, L.L.C.

RIA

CRD#: 35699

HOUSTON, TX

Past

July 12, 1994 - March 22, 2022

GLOBAL FINANCIAL SERVICES, L.L.C.

CRD#: 35699

HOUSTON, TX

Past

February 24, 1988 - July 14, 1994

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

Past

April 1, 1986 - March 7, 1988

GOLDMAN SACHS & CO. LLC

CRD#: 361

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

GFS ADVISORS LLC

CRD#: 143110 / SEC#: 801-67899

RIA

Registered Investment Advisory firm - (5/21/2007 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Arizona
(9/21/2022)

California
(9/13/2022)

Colorado
(8/18/2025)

Delaware
(10/12/2022)

Florida
(5/10/2023)

Michigan
(9/15/2022)

Ohio
(9/14/2022)

South Dakota
(10/5/2022)

IAR

Texas
(5/30/2007)

Texas
(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

State Security Law Exam

Series 63

Date: 2/21/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 9/19/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 3

Date: 3/21/1986

National Commodity Futures Examination

General Industry/Product Exam

Series 15

Date: 3/7/1986

Foreign Currency Options Examination

General Industry/Product Exam

Series 5

Date: 2/24/1986

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 1/18/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/25/1994

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

GFS ADVISORS LLC

CRD#: 143110 / SEC#: 801-67899

RIA

Registered Investment Advisory firm - (5/21/2007 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1330 Post Oak Blvd., Suite 2100, Houston, TX 77056

Mailing Address

Phone number

(713) 968-0400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2022-03-31 GFSA FORM ADV PART 2A - FIRM BROCHURE (3/30/2025)

Regulatory assets under management

Total Number of Accounts	724
AUM (Assets Under Management)	$ 3,268,787,765

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.

Similar Advisors

Troy Wootton

EDWARD JONES

IAR

Sugar Land, TX

Darren Dindinger

ALLWORTH FINANCIAL, L.P.

IAR

Orting, WA

Li-e Wang

TRANSAMERICA FINANCIAL ADVISORS, LLC

Houston, TX

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Gerardo A. Chapa

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gerardo Arturo Chapa's CRS (Customer Relationship Summary).

Certified licenses

Experience

GLOBAL FINANCIAL SERVICES, L.L.C.

GLOBAL FINANCIAL SERVICES, L.L.C.

GLOBAL FINANCIAL SERVICES, L.L.C.

KIDDER, PEABODY & CO. INCORPORATED

GOLDMAN SACHS & CO. LLC

Primary Firm SEC Registration

GFS ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/21/1986

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 9/19/2000

Series 3

Date: 3/21/1986

Series 15

Date: 3/7/1986

Series 5

Date: 2/24/1986

Series 7

Date: 1/18/1986

Series 24

Date: 10/25/1994

FINRA

Nasdaq Stock Market

Current Firm

GFS ADVISORS LLC

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GFS ADVISORS LLC

TRUST BUT VERIFY

Similar Advisors