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WC

William A. Chapman

BAKER TILLY CAPITAL
Chicago, IL 60601-5927
Some features on this profile are disabled
CRD#: 3240642
WC

Professional summary

William Albert Chapman, who also goes by Bill Chapman, is a registered financial professional currently at BAKER TILLY CAPITAL, LLC located in Chicago, Illinois.

William is registered as a RR (Registered Representative) and started their career in finance in 1999. William has worked at 3 firms and has passed the Series 66, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bill Chapman

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 William Albert Chapman'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

July 13, 2007 - Present

BAKER TILLY CAPITAL, LLC

Office #1: 205 N. Michigan Avenue, Ste. 2800, Chicago, IL 60601-5927
BD
CRD#: 115333
Chicago, IL
Past

March 19, 2007 - July 2, 2007

WOLF FINANCIAL MANAGEMENT, LLC

BD
CRD#: 44225
OAK BROOK, IL
Past

February 19, 2002 - June 29, 2007

WOLF CAPITAL LLC

RIA
CRD#: 114384
OAK BROOK, IL
Past

January 9, 2002 - June 29, 2007

WOLF CAPITAL LLC

BD
CRD#: 114384
OAK BROOK, IL
Past

July 19, 1999 - March 9, 2002

WOLF FINANCIAL MANAGEMENT, LLC

BD
CRD#: 44225
OAKBROOK TERRACE, IL

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
Illinois
(7/13/2007)
RR
Wisconsin
(7/13/2007)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/21/1999
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/16/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/25/2001
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

BT
BAKER TILLY CAPITAL, LLC
BAKER TILLY CAPITAL | VIRCHOW KRAUSE CAPITAL, LLC | BAKER TILLY CAPITAL, LLC

CRD#: 115333 / SEC#: , 8-53480

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

Main Address
4807 Innovate Lane, Madison, WI 53718
Mailing Address
Po Box 7398, Madison, WI 53707-7398
Phone number
(800) 362-7301
Established
Wisconsin since 09/22/1999
Firm type
Limited Liability Company
Fiscal year end
May
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)

Direct owners and executive officers

NamePositionCRD#
BAKER TILLY ADVISORY GROUP, LPMANAGING MEMBER
INDA, TYLER RONALDPRESIDENT6478455
OLSON, BARBARA RCHIEF COMPLIANCE OFFICER6715742
STEWART, SCOTT ALEXANDERFINOP, POO, PFO6977422

Disclosures

Regulatory Event1

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

BAKER TILLY CAPITAL, LLC

CRD#: 115333Chicago, IL 60601-5927

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