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CF

Chad L. Felton

FELTL & COMPANY
Plymouth, MN 55447
Some features on this profile are disabled
CRD#: 2746203
CF

Professional summary

Chad Larry Felton is a registered financial professional currently at FELTL & COMPANY located in Plymouth, Minnesota.

Chad is registered as a RR (Registered Representative) and started their career in finance in 1998. Chad has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 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) - BD

Click below to view Chad Larry Felton'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

September 16, 2002 - Present

FELTL & COMPANY

Office #1: One Carlson Parkway North Suite 225, Plymouth, MN 55447
BD
CRD#: 6905
Plymouth, MN
Past

October 3, 2000 - September 16, 2002

MILLER JOHNSON STEICHEN KINNARD, INC.

BD
CRD#: 694
MINNEAPOLIS, MN
Past

April 1, 1998 - October 30, 2000

JOHN G. KINNARD AND COMPANY, INCORPORATED

BD
CRD#: 466
MINNEAPOLIS, MN
Past

January 9, 1998 - April 28, 1998

PRINCIPAL FINANCIAL SECURITIES,INC.

BD
CRD#: 260
DALLAS, TX

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
Arizona
(1/3/2020)
RR
Arkansas
(12/6/2024)
RR
Colorado
(1/3/2020)
RR
Florida
(11/28/2016)
RR
Georgia
(12/17/2021)
RR
Indiana
(1/3/2020)
RR
Iowa
(1/3/2020)
RR
Minnesota
(9/16/2002)
RR
Missouri
(1/3/2020)
RR
Montana
(1/2/2018)
RR
North Dakota
(1/11/2008)
RR
South Dakota
(1/11/2008)
RR
Texas
(12/11/2020)
RR
Virginia
(3/26/2008)
RR
Wisconsin
(9/16/2002)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/8/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/11/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/8/1998
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

F&
FELTL & COMPANY
FELTL & COMPANY | MCALMONT INVESTMENT COMPANY | FELTL AND COMPANY | FELTL ADVISORS

CRD#: 6905 / SEC#: 801-68779, 8-18435

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

Main Address
One Carlson Parkway North Suite 225, Plymouth, MN 55447
Mailing Address
One Carlson Parkway North Suite 225, Plymouth, MN 55447
Phone number
(612) 492-8800
Established
Minnesota since 02/27/1975
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

FIRM BROCHURE (3/30/2012)
WRAP PROGRAM (3/30/2012)

Direct owners and executive officers

NamePositionCRD#
FELTL, JOHN CHRISTOPHERCEO, TRUSTEE JCF TRUST2366353
JCF TRUSTSHAREHOLDER
EDWARDS, MITCHELL JAYCOO, CORP SECRETARY4127796
FELTL, MARY JOANNEPRESIDENT2055810
RIGAZIO, DAVID ALANCFO7083498
VAN KREVELEN, DIRK GARRETCHIEF COMPLIANCE OFFICER1289150

Disclosures

Regulatory Event11
Arbitration2

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

FELTL & COMPANY

CRD#: 6905Plymouth, MN 55447

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