Fredrick J. Chapey
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.
Fredrick Joseph Chapey JR., who also goes by Frederick Joseph Chapey Jr, Fredrick Chapey, was a registered financial professional .
Fredrick is a previously registered financial professional and started their career in finance in 1990. Fredrick had worked at 5 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 14 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
April 23, 2009 - June 5, 2023
STORMHARBOUR SECURITIES LP
December 18, 1998 - August 13, 2007
CITIGROUP GLOBAL MARKETS INC.
October 14, 1998 - December 18, 1998
CITICORP SECURITIES, INC.
April 1, 1996 - December 10, 1997
J.P. MORGAN SECURITIES INC.
October 31, 1990 - April 1, 1996
CHASE SECURITIES, INC.
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
STORMHARBOUR SECURITIES LP
CRD#: 35997 / SEC#: , 8-46999
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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