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Don F. Chaplin

Some features on this profile are disabled
CRD#: 4059505
DC

Professional summary

Don Fernandez Chaplin was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Don is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Don had worked at 1 firm, which includes DEAM INVESTOR SERVICES INC..

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

December 9, 1999 - May 8, 2000

DEAM INVESTOR SERVICES, INC.

BD
CRD#: 754
NEW YORK, 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: 2/15/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 12/8/1999
Investment Company Products/Variable Contracts Representative Examination

Current Firm

DI
DEAM INVESTOR SERVICES, INC.
DEAM INVESTOR SERVICES, INC. | SCUDDER INVESTOR SERVICES, INC. | SCUDDER FUND DISTRIBUTORS, INC.

CRD#: 754 / SEC#: , 8-298

BD
Terminated by SEC on 07/31/2011
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Contact information

Main Address
Mailing Address
Phone number
Established
Massachusetts since 05/12/1947
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
DEUTSCHE INVESTMENT MANAGEMENT AMERICAS INC.SHAREHOLDER
GOLDSTEIN, CLIFFORD IANCHIEF FINANCIAL OFFICER2330535
IRISH, JUDITH LYNNVICE PRESIDENT
ROSNER, CHRISTINE LOUISEPRESIDENT4751095
SARBINOWSKI, JOSEPH WALTERVICE PRESIDENT4539039
WHITE, DONNA MARIECHIEF COMPLIANCE OFFICER2432232

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

DEAM INVESTOR SERVICES, INC.

CRD#: 754

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