Beth C. 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.
Beth C Chapman, who also goes by Beth J Ceaser, Beth Ceaser Chapman, Beth J Chapman, was a registered financial professional .
Beth is a previously registered financial professional and started their career in finance in 2005. Beth had worked at 11 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 19, 2016 - April 30, 2018
FIRST CAPITAL ADVISORS GROUP, LLC
April 2, 2014 - August 3, 2016
PURSHE KAPLAN STERLING INVESTMENTS
September 13, 2013 - March 3, 2016
CANTOR FITZGERALD WEALTH PARTNERS, LLC
November 18, 2011 - December 31, 2012
CBIZ FINANCIAL SOLUTIONS, INC.
July 14, 2011 - December 31, 2013
MSEC, LLC
May 30, 2011 - January 9, 2014
MARINER WEALTH
June 2, 2010 - May 12, 2011
INVESTORS CAPITAL CORP.
June 1, 2010 - May 12, 2011
INVESTORS CAPITAL CORP.
March 1, 2010 - April 21, 2010
OSAIC WEALTH, INC.
October 21, 2009 - February 12, 2010
STIFEL, NICOLAUS & COMPANY, INCORPORATED
October 21, 2009 - February 12, 2010
STIFEL, NICOLAUS & COMPANY, INCORPORATED
February 3, 2006 - May 19, 2009
WELLS FARGO CLEARING SERVICES, LLC
November 8, 2005 - May 19, 2009
WELLS FARGO CLEARING SERVICES, LLC
February 17, 2005 - October 7, 2005
LPL FINANCIAL LLC
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
FIRST CAPITAL ADVISORS GROUP, LLC
CRD#: 281322 / SEC#: 801-106606
Contact information
Regulatory assets under management
| Total Number of Accounts | 230 |
| AUM (Assets Under Management) | $ 342,954,805 |
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.
