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RC

Roland L. Chapin

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CRD#: 2494038
RC

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.

Roland Lee Chapin was a registered financial professional .

Roland is a previously registered financial professional and started their career in finance in 1994. Roland had worked at 7 firms and has passed the Series 63, Series 55, Series 7, Series 27, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 4, 2001 - April 22, 2003

CLEMENTS COMPANY INVESTMENT ADVISORS

BD
CRD#: 47000
SAN DIEGO, CA
Past

December 20, 1999 - March 23, 2001

ETS SECURITIES, INC.

BD
CRD#: 47647
CITY OF INDUSTRY, CA
Past

September 3, 1999 - December 3, 1999

FASCO INTERNATIONAL, INC.

BD
CRD#: 31009
WALNUT, CA
Past

January 27, 1999 - October 20, 1999

HAMPTON-PORTER, INVESTMENT BANKERS, A CALIFORNIA LLC

BD
CRD#: 42949
SAN DIEGO, CA
Past

November 18, 1997 - December 15, 1998

RICHMARK CAPITAL CORPORATION

BD
CRD#: 43162
IRVING, TX
Past

January 4, 1995 - November 22, 1996

GLOBAL CAPITAL SECURITIES CORPORATION

BD
CRD#: 16184
ENGLEWOOD, CO
Past

May 27, 1994 - December 20, 1994

H.J. MEYERS & CO., INC.

BD
CRD#: 15609
ROCHESTER, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/27/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 10/8/1998
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 5/25/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 10/7/1998
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 2/18/1998
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/8/1995
General Securities Principal Examination

Current Firm

CI
CLEMENTS COMPANY INVESTMENT ADVISORS
CLEMENTS COMPANY INVESTMENT ADVISORS | FIRST GENEVA SECURITIES, INC. | FIRST GENEVA SECURITIES | CLEMENTS COMPANY INVESTMENT ADVISORS, INC.

CRD#: 47000 / SEC#: , 8-51619

BD
Cancelled by SEC on 10/09/2003
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 02/02/1999
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
VALHALLA CAPITAL LLCOWNER
CHAPIN, ROLAND LEEPRESIDENT2494038
CLEMENTS, JAMES MICHAELVICE PRESIDENT

Disclosures

Regulatory Event5

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

CLEMENTS COMPANY INVESTMENT ADVISORS

CRD#: 47000

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