Richard J. Chappuis
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.
Richard Joseph Chappuis JR, who also goes by Rich Chappuis Jr, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1992. Richard had worked at 9 firms and has passed the Series 65, 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
September 28, 2015 - August 4, 2021
HUNTLEIGH SECURITIES CORPORATION
October 22, 2010 - August 4, 2021
HUNTLEIGH ADVISORS, INC.
October 5, 2010 - October 8, 2010
HUNTLEIGH ADVISORS, INC.
October 5, 2010 - October 2, 2013
HUNTLEIGH SECURITIES CORPORATION
March 14, 2008 - October 8, 2010
RAYMOND JAMES & ASSOCIATES, INC.
March 14, 2008 - October 8, 2010
RAYMOND JAMES & ASSOCIATES, INC.
July 11, 2001 - March 17, 2008
STIFEL, NICOLAUS & COMPANY, INCORPORATED
May 18, 2001 - March 17, 2008
STIFEL, NICOLAUS & COMPANY, INCORPORATED
February 1, 2000 - June 19, 2001
UMB FINANCIAL SERVICES, INC.
February 3, 1999 - February 2, 2000
INVEST FINANCIAL CORPORATION
April 4, 1997 - February 22, 1999
MAGNA INVESTMENTS
September 7, 1994 - April 8, 1997
MORGAN STANLEY DW INC.
December 17, 1992 - September 9, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
HUNTLEIGH SECURITIES CORPORATION
CRD#: 7456 / SEC#: , 8-21893
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CHAMBERS, ROBERT LEWIS | PRESIDENT/DIRECTOR/OWNER | 1231649 |
| GAO CONSULTING, LLC | OWNER | |
| CHAMBERS, ROBERT BARRETT | DIRECTOR | 6963634 |
| LEOPOLD, MICHAEL WARREN | DIRECTOR | 306991 |
| MARSHALL, CATHERINE TERRY | CCO/DIRECTOR/CORPORATE SECRETARY | 1445205 |
| O'CONNELL, CHRISTOPHER CORY | DIRECTOR | 5008251 |
| OVERSCHMIDT, GREG ALFRED | DIRECTOR | 1160877 |
| THOMAS, KAREN LEE | CHIEF OPERATIONS OFFICER AND FIN/OP | 1970467 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
