Stephen C. Chapin
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.
Stephen Carey Chapin was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1986. Stephen had worked at 2 firms and has passed the Series 63, Series 7 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
July 8, 1993 - November 1, 1999
CSFP CAPITAL, INC.
November 3, 1986 - December 31, 1990
CREDIT SUISSE SECURITIES (USA) LLC
September 24, 1986 - November 20, 2012
CREDIT SUISSE SECURITIES (USA) 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
CSFP CAPITAL, INC.
CRD#: 31796 / SEC#: , 8-45553
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CREDIT SUISSE FINANCIAL PRODUCTS (USA), INC. | OWNER | |
| CALELLO, PAUL | PRESIDENT, DIRECTOR | 2460530 |
| ERVIN, DEAN WILSON | DIRECTOR | 1886575 |
| GOEKJIAN, CHRIS | DIRECTOR, CHAIRMAN OF THE BOARD | 2657945 |
| JOHNSON, ADAM DUDLEY | FINANCIAL PRINCIPAL | 2939568 |
| MARTIN, CHRISTOPHER GEORGE | DIRECTOR | 2752251 |
| MYERS, ANN CATHERINE | COMPLIANCE OFFICER | 2281660 |
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.
