Geoffrey H. Chapin
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.
Geoffrey Hawkins Chapin was a registered financial professional .
Geoffrey is a previously registered financial professional and started their career in finance in 1993. Geoffrey had worked at 12 firms and has passed the Series 65, Series 63, Series 7TO, 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
February 5, 2020 - December 9, 2020
IP FINANCIAL ADVISORY SERVICES LLC
March 3, 2014 - December 9, 2020
INNOVATION PARTNERS LLC
February 28, 2014 - January 14, 2020
INNOVATION PARTNERS LLC
June 30, 2009 - November 14, 2013
FORTITUDE ADVISORY GROUP L.L.C.
July 2, 2007 - November 14, 2013
ARGENTUS SECURITIES, LLC
June 8, 2006 - June 30, 2009
W.E. DONOGHUE & CO., INC
June 21, 2005 - July 6, 2007
LEGACY FINANCIAL SERVICES, INC.
January 30, 2004 - December 31, 2004
IVANHOE ASSOCIATES, LLC
January 2, 2004 - December 31, 2004
THE LEADERS GROUP, INC.
August 9, 2002 - December 31, 2003
INTERLINK SECURITIES CORP.
June 24, 1998 - May 29, 2002
HIMCO DISTRIBUTION SERVICES COMPANY
October 21, 1993 - June 19, 1998
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
October 21, 1993 - June 19, 1998
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
IP FINANCIAL ADVISORY SERVICES LLC
CRD#: 305772 / SEC#: 801-117481
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 7TO
Date: 12/9/2022
General Securities Representative ExaminationCurrent Firm
IP FINANCIAL ADVISORY SERVICES LLC
CRD#: 305772 / SEC#: 801-117481
Contact information
SEC notice filing (48 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 2,887 |
| AUM (Assets Under Management) | $ 456,110,407 |
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.
