Richard C. Chapman

KESTRA INVESTMENT SERVICES

Warrington, PA 18976

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CRD#: 4231949

Professional summary

Richard Carleton Chapman, who also goes by Rich Chapman, Richard C. Chapman, is a registered financial professional currently at KESTRA INVESTMENT SERVICES, LLC located in Warrington, Pennsylvania.

Richard is registered as a RR (Registered Representative) and started their career in finance in 2000. Richard has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Rich Chapman | Richard C. 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 Richard Carleton 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

April 20, 2021 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 2600 Kelly Road, Suite 300, Warrington, PA 18976

CRD#: 42046

Warrington, PA

Past

April 13, 2016 - September 23, 2020

VALMARK SECURITIES, INC.

CRD#: 31243

Minneapolis, MN

Past

September 18, 2007 - April 8, 2010

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

MENDOTA HEIGHTS, MN

Past

July 2, 2001 - December 21, 2005

CLARK SECURITIES, INC.

CRD#: 43803

BLOOMINGTON, MN

Past

August 18, 2000 - July 2, 2001

CLARK-BARDES SECURITIES, INC.

CRD#: 29094

DALLAS, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Illinois
(6/2/2021)

Iowa
(6/2/2021)

Minnesota
(4/21/2021)

Nebraska
(10/19/2021)

North Dakota
(6/2/2021)

Pennsylvania
(4/21/2021)

Exams

State Security Law Exam

Series 63

Date: 3/21/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 4/13/2016

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046 / SEC#: , 8-49672

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

5707 Southwest Parkway 2-125, Austin, TX 78746

Mailing Address

5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735

Phone number

(844) 553-7872

Established

Texas since 09/01/2014

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

Name	Position	CRD#
KESTRA FINANCIAL, INC	SOLE MEMBER
AMORE, JOHN VINCENT	PRESIDENT	5430932
CHESTER, KRISTEN LAWLESS	CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT	6896952
KANT, VINAY	CHIEF DIGITAL TECHNOLOGY OFFICER	7976827
PEDLOW, MICHAEL ROSS	CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT	4871563
POER, JAMES LYNN	CHIEF EXECUTIVE OFFICER	1983357
SCHOENBECK, MARK PAUL	EXECUTIVE VICE PRESIDENT	2625829
YIN, YIN	CONTROLLER	3219513
ZEGERS, SCOTT MATTHEW	CHIEF FINANCIAL OFFICER	4831659

Disclosures

Regulatory Event	14
Arbitration	2

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.

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Richard C. Chapman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Carleton Chapman's CRS (Customer Relationship Summary).

Certified licenses

Experience

VALMARK SECURITIES, INC.

KESTRA INVESTMENT SERVICES, LLC

CLARK SECURITIES, INC.

CLARK-BARDES SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/21/2016

SIE

Date: 10/1/2018

Series 6

Date: 4/13/2016

FINRA

Current Firm

KESTRA INVESTMENT SERVICES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

KESTRA INVESTMENT SERVICES, LLC

TRUST BUT VERIFY

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