Brian M. 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.
Brian Moran Chapman was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1988. Brian had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 13, 2016 - October 31, 2016
CETERA WEALTH SERVICES, LLC
May 2, 2016 - October 31, 2016
CETERA WEALTH SERVICES, LLC
November 19, 2015 - April 11, 2016
LPL FINANCIAL LLC
November 13, 2015 - April 11, 2016
LPL FINANCIAL LLC
September 22, 2015 - October 8, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 17, 2015 - October 8, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 12, 2014 - September 11, 2015
BANCWEST INVESTMENT SERVICES, INC.
June 2, 2014 - September 11, 2015
BANCWEST INVESTMENT SERVICES, INC.
May 14, 2013 - June 12, 2014
SECURITIES AMERICA ADVISORS, INC.
May 14, 2013 - June 12, 2014
SECURITIES AMERICA, INC.
January 11, 2012 - May 14, 2013
FINANCIAL TELESIS INC
January 10, 2012 - May 14, 2013
FINANCIAL TELESIS INC
October 7, 2011 - January 19, 2012
VALIC FINANCIAL ADVISORS, INC.
October 6, 2011 - January 19, 2012
VALIC FINANCIAL ADVISORS, INC.
December 12, 2007 - November 11, 2011
SECURITIES AMERICA ADVISORS, INC.
December 12, 2007 - November 11, 2011
SECURITIES AMERICA, INC.
March 23, 2006 - December 13, 2007
FIRST HORIZON ADVISORS, INC.
November 18, 2003 - March 14, 2006
SECURITIES AMERICA ADVISORS, INC.
November 4, 2003 - March 14, 2006
SECURITIES AMERICA, INC.
December 3, 2002 - November 5, 2003
FIRST HORIZON ADVISORS, INC.
November 8, 2002 - November 5, 2003
FIRST HORIZON ADVISORS, INC.
December 1, 1997 - December 10, 2002
SECURITIES AMERICA ADVISORS, INC.
November 21, 1997 - January 6, 1998
WELLS FARGO SECURITIES INC.
October 3, 1997 - December 9, 2002
SECURITIES AMERICA, INC.
May 22, 1995 - September 25, 1997
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
August 19, 1994 - May 16, 1995
EDWARD JONES
February 12, 1990 - August 19, 1994
ASB FINANCIAL SERVICES
October 14, 1988 - September 15, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 23, 1988 - September 13, 1988
KIDDER, PEABODY & CO. INCORPORATED
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
CETERA WEALTH SERVICES, LLC
CRD#: 13572 / SEC#: 801-47342, 8-29577
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 4710068 |
| COAXUM, KOFI SULE | VICE PRESIDENT | 5150018 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| GOOLEY, THOMAS ANDREW | MANAGER | 4526760 |
| HALLORAN, THOMAS WILLIAM | VICE PRESIDENT | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 5059176 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | PRESIDENT AND MANAGER | 2272183 |
| STONE, TIMOTHY PATRICK | VICE PRESIDENT | 3038963 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WATTS, ANDREW DAVID | VICE PRESIDENT | 4780880 |
Regulatory assets under management
| Total Number of Accounts | 192,956 |
| AUM (Assets Under Management) | $ 46,651,447,975 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 2 |
| Arbitration | 15 |
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.
