James M. 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.
James Mark Chapman was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1997. James had worked at 3 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2010 - March 12, 2012
EVOLUTION SECURITIES US INC.
December 6, 2000 - September 18, 2008
CITIGROUP GLOBAL MARKETS INC.
August 4, 1997 - October 19, 2000
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
EVOLUTION SECURITIES US INC.
CRD#: 28275 / SEC#: , 8-43576
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVOLUTION SECURITIES LIMITED | SHAREHOLDER | |
| ELLIS, JEREMY PETER MR | DIRECTOR AND PRINCIPAL | 5439545 |
| GREVILLE, MICHAEL FRANK | CHIEF COMPLIANCE OFFICER | 5794701 |
| PORTEOUS, ANDREW IAN MR | PRINCIPAL | 5581398 |
| RAINCOCK, TOBY JOHN DAWSON | CHIEF FINANCIAL OFFICER/FINOP | 5664934 |
| SMALL, MARK DAVID | CHIEF EXECUTIVE OFFICER | 5277838 |
| SNOW, ALEXANDER CHARLES WALLACE MR | PRESIDENT | 4833903 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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