Earline F. Chapa

WATERLOO CAPITAL

AUSTIN, TX 78746

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CRD#: 2237015

Professional summary

Earline Fay Chapa, who also goes by Earline Moos Chapa, Earline Fay Mahan, is a registered financial advisor currently at WATERLOO CAPITAL located in Austin, Texas.

Earline is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Earline has worked at 6 firms and has passed the Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Earline Moos Chapa | Earline Fay Mahan

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Earline Fay Chapa's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 15, 2009 - Present

WATERLOO CAPITAL

Office #1: 2801 Via Fortuna Suite 250, Austin, TX 78746

RIA

CRD#: 133705

AUSTIN, TX

Past

May 2, 2008 - August 7, 2008

VIRTUS SECURITIES, LLC

CRD#: 146016

AUSTIN, TX

Past

February 9, 2007 - August 14, 2009

REGAL SECURITIES, INC.

CRD#: 7297

AUSTIN, TX

Past

August 21, 2006 - December 31, 2006

SAMCO FINANCIAL SERVICES, INC.

CRD#: 30108

AUSTIN, TX

Past

November 10, 2005 - August 22, 2006

FSC SECURITIES CORPORATION

CRD#: 7461

AUSTIN, TX

Past

February 2, 1999 - January 26, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WATERLOO CAPITAL

CRD#: 133705 / SEC#: 801-63975

RIA

Registered Investment Advisory firm - (3/11/2005 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(12/15/2009)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/14/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/20/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/1/1999

General Securities Representative Examination

Current Firm

WATERLOO CAPITAL

CRD#: 133705 / SEC#: 801-63975

RIA

Registered Investment Advisory firm - (3/11/2005 Approved)

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Contact information

Main Address

2801 Via Fortuna Suite 250, Austin, TX 78746

Mailing Address

Phone number

(512) 777-5900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WATERLOO CAPITAL WRAP FEE PROGRAM BROCHURE (7/29/2025)

WATERLOO CAPITAL PART 2A (7/29/2025)

Regulatory assets under management

Total Number of Accounts	6,775
AUM (Assets Under Management)	$ 1,686,618,820

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.

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Earline F. Chapa

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Earline Fay Chapa's CRS (Customer Relationship Summary).

Certified licenses

Experience

VIRTUS SECURITIES, LLC

REGAL SECURITIES, INC.

SAMCO FINANCIAL SERVICES, INC.

FSC SECURITIES CORPORATION

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

WATERLOO CAPITAL

State Registrations and Notice Filings

Exams

Series 66

Date: 12/14/2009

Series 63

Date: 8/20/1999

Series 7

Date: 2/1/1999

Current Firm

WATERLOO CAPITAL

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WATERLOO CAPITAL

TRUST BUT VERIFY

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