John H. 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.
John Holland Chapman, who also goes by John H Chapman, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1986. John had worked at 14 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 2, 2016 - December 31, 2017
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
August 3, 2009 - June 2, 2016
FOOTHILL SECURITIES, INC.
December 5, 2008 - August 3, 2009
CUE FINANCIAL GROUP, INC.
August 5, 2002 - December 10, 2008
EMPIRE FINANCIAL GROUP, INC.
January 24, 2001 - August 15, 2002
RUSHMORE SECURITIES CORPORATION
June 18, 1998 - March 8, 2001
NORTHSTAR SECURITIES, INC.
April 1, 1996 - December 9, 1998
DOMINION CAPITAL CORPORATION
November 2, 1992 - April 3, 1996
BLUEBONNET SECURITIES, INC.
September 5, 1991 - November 2, 1992
SWBC INVESTMENT COMPANY
July 20, 1990 - September 13, 1991
SECURITIES MANAGEMENT & RESEARCH, INC.
September 12, 1989 - July 20, 1990
AMERICAN INVESTORS GROUP, INC.
May 13, 1989 - August 1, 1989
U.S. ADVISORS, INC.
September 23, 1988 - June 14, 1989
METLIFE INVESTORS DISTRIBUTION COMPANY
May 22, 1986 - August 23, 1988
AMERIPRISE FINANCIAL SERVICES, LLC
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
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
