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AC

Ana G. Chapman

HOLLISTER ASSOCIATES
MOUNT PLEASANT, SC
Some features on this profile are disabled
CRD#: 2383255
AC

Professional summary

Ana Gomez Chapman, who also goes by Ana Fernanda Gomez, is a registered financial professional currently at HOLLISTER ASSOCIATES, LLC located in Mount Pleasant, South Carolina.

Ana is registered as a RR (Registered Representative) and started their career in finance in 1997. Ana has worked at 5 firms and has passed the Series 66, Series 63, Series 3, Series 7TO, SIE, Series 7, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ana Fernanda Gomez

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) - BD

Click below to view Ana Gomez Chapman'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

April 14, 2025 - Present

HOLLISTER ASSOCIATES, LLC

BD
CRD#: 173366
MOUNT PLEASANT, SC
Past

October 28, 2021 - October 14, 2024

HAMILTON LANE SECURITIES LLC

BD
CRD#: 281510
CONSHOHOCKEN, PA
Past

March 19, 2019 - October 26, 2021

ALLIANZ GLOBAL INVESTORS U.S. LLC

RIA
CRD#: 149003
San Diego, CA
Past

March 5, 2019 - October 26, 2021

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

BD
CRD#: 25567
SAN DIEGO, CA
Past

September 3, 1997 - October 20, 2003

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(4/14/2025)
RR
New York
(4/14/2025)
RR
Wyoming
(4/14/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/18/2019
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 9/15/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 4/18/2019
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/5/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/22/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/28/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 8/23/2001
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 7/25/2001
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

HA
HOLLISTER ASSOCIATES, LLC
HOLLISTER ASSOCIATES, LLC

CRD#: 173366 / SEC#: , 8-69538

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
257 River Oak Drive, Mount Pleasant, SC 29464
Mailing Address
257 River Oak Drive, Mount Pleasant, SC 29464
Phone number
(401) 465-3080
Established
South Carolina since 09/09/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
HOLLISTER, CHRISTOPHER VERNCEO/CCO5637565
CLIFFHANGER INVESTMENTS, LLCOWNER
KUGLER, JACQUESOWNER5105697
MADABA INVESTMENTS, LLCOWNER
PORTWOOD, WILLIAM BOYCECFO/FINOP4853700

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.

Company Information

HOLLISTER ASSOCIATES, LLC

CRD#: 173366Mount Pleasant, SC

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