Kenneth A. 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.
Kenneth Andrew Chapman, who also goes by Ken A Chapman, Kenny A Chapman, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 2001. Kenneth had worked at 14 firms and has passed the Series 63 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
July 30, 2012 - May 20, 2014
J.D. NICHOLAS & ASSOCIATES, INC.
September 2, 2011 - September 9, 2011
ROCKWELL GLOBAL CAPITAL LLC
August 27, 2010 - August 17, 2011
BLACKBOOK CAPITAL, LLC
December 3, 2009 - January 29, 2010
JOHN THOMAS FINANCIAL
August 3, 2009 - January 4, 2010
ITRADEDIRECT.COM CORP
February 2, 2009 - May 21, 2009
AURA FINANCIAL SERVICES, INC.
October 7, 2008 - December 12, 2008
PHD CAPITAL
January 31, 2008 - October 29, 2008
ITRADEDIRECT.COM CORP
August 3, 2007 - January 31, 2008
PHD CAPITAL
July 26, 2007 - August 10, 2007
GUNNALLEN FINANCIAL, INC
June 25, 2007 - July 27, 2007
PHD CAPITAL
June 20, 2007 - July 24, 2007
J.P. TURNER & COMPANY, L.L.C.
May 26, 2006 - June 6, 2006
GREAT EASTERN SECURITIES, INC.
March 14, 2006 - May 11, 2006
GREAT EASTERN SECURITIES, INC.
April 25, 2005 - March 22, 2006
GUNNALLEN FINANCIAL, INC
November 16, 2004 - April 28, 2005
MILESTONE GROUP MANAGEMENT LLC
September 21, 2004 - November 16, 2004
WESTROCK ADVISORS, INC.
May 17, 2004 - October 5, 2004
GUNNALLEN FINANCIAL, INC
September 19, 2003 - May 14, 2004
J.P. TURNER & COMPANY, L.L.C.
March 31, 2003 - September 15, 2003
MILESTONE GROUP MANAGEMENT LLC
March 25, 2003 - April 14, 2003
GUNNALLEN FINANCIAL, INC
March 12, 2002 - March 21, 2003
MILESTONE FINANCIAL SERVICES, INC.
June 13, 2001 - March 14, 2002
LADENBURG CAPITAL MANAGEMENT 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
Exams
Current Firm
J.D. NICHOLAS & ASSOCIATES, INC.
CRD#: 44791 / SEC#: , 8-50822
Contact information
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
