Timothy G. 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.
Timothy Gerard Chapman, who also goes by Tim Gerard Chapman, Tim Chapman, Timothy G Chapman, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1993. Timothy had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2012 - December 31, 2013
SUNGARD INSTITUTIONAL BROKERAGE INC.
January 3, 2012 - June 2, 2017
FIS BROKERAGE & SECURITIES SERVICES LLC
March 24, 2010 - January 3, 2012
FOX RIVER EXECUTION TECHNOLOGY, LLC
May 28, 2004 - August 17, 2005
KNIGHT CAPITAL AMERICAS, L.P.
February 4, 1993 - May 5, 2004
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
SUNGARD INSTITUTIONAL BROKERAGE INC.
CRD#: 8509 / SEC#: , 8-25844
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUNGARD INVESTMENT VENTURES LLC. | SHAREHOLDER | |
| CARVER, JASON MATTHEW | CHIEF FINANCIAL OFFICER | 4681802 |
| DONNELLAN, ANDREW B JR. | DIRECTOR | 4903697 |
| MAYO, STEPHANIE ANN | SENIOR MANAGING DIRECTOR, BUSINESS OPERATIONS/DIRECTOR | 5048684 |
| MEADE, CHRISTOPHER HILARY | SR. MANAGING DIRECTOR COMPLIANCE & OPERATIONS/ CHIEF COMPLIANCE OFFICER | 2629159 |
| SANTELLA, ROBERT ANTHONY | CEO/ PRESIDENT/ DIRECTOR | 2385977 |
| VALLOW, RONALD ELLIS JR. | CONTROLLER/FINOP | 4948582 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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