William E. Chapman
Professional summary
William Edward Chapman, who also goes by William Edward Chapman Jr, William Edward Chapman, is a registered financial professional currently at TRUIST SECURITIES, INC. located in Chicago, Illinois.
William is registered as a RR (Registered Representative) and started their career in finance in 2000. William has worked at 7 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William Edward Chapman's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 27, 2022 - Present
TRUIST SECURITIES, INC.
Office #1: 227 W Monroe Street Fl 10, Chicago, IL 60606July 13, 2021 - April 6, 2022
BMO CAPITAL MARKETS CORP.
March 9, 2020 - July 14, 2021
BMO HARRIS FINANCIAL ADVISORS, INC.
September 23, 2019 - July 14, 2021
BMO HARRIS FINANCIAL ADVISORS, INC.
January 5, 2007 - January 23, 2008
E*TRADE SECURITIES LLC
November 14, 2005 - February 6, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
October 26, 2005 - February 6, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
March 22, 2005 - July 19, 2005
CALAMOS FINANCIAL SERVICES LLC
January 20, 2000 - October 8, 2003
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/27/2022)
Exams
Series 7TO
Date: 9/23/2019
General Securities Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
TRUIST SECURITIES, INC.
CRD#: 6271 / SEC#: , 8-17212
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | PARENT COMPANY | |
| COLEMAN, SHELLEY BRENNAN | AML OFFICER | 3163295 |
| FARRELL, KATHLEEN ANNE | BOARD MEMBER | 4038178 |
| HACKETT, THOMAS PATRICK | CHAIRMAN OF THE BOARD & CHIEF EXECUTIVE OFFICER | 2878035 |
| HUFFSTETLER, MARK | BOARD MEMBER AND CHIEF CREDIT OFFICER | 2830214 |
| HUMPHREYS, ADAM | SECRETARY AND CHIEF LEGAL OFFICER | 7866934 |
| JESSANI, KERRY | BOARD MEMBER | 5048754 |
| MILLIGAN, JOHN | PRINCIPAL OPERATIONS OFFICER | 3206391 |
| MORRIS, DONALD ROSS JR | CHIEF FINANCIAL OFFICER | 3231801 |
| PAPPAS, ALBERT GEORGE | CHIEF COMPLIANCE OFFICER | 1875535 |
Disclosures
| Regulatory Event | 22 |
| Arbitration | 1 |
Red Flags
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