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GC

Gary L. Chapman

DAI SECURITIES
INDIANAPOLIS, IN 46204
Some features on this profile are disabled
CRD#: 5244594
GC

Professional summary

Gary L. Chapman, who also goes by Gary Chapman, is a registered financial professional currently at DAI SECURITIES, LLC located in Indianapolis, Indiana.

Gary is registered as a RR (Registered Representative) and started their career in finance in 2006. Gary has worked at 3 firms and has passed the Series 63, SIE and Series 22 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Gary 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 Gary L. 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

October 23, 2024 - Present

DAI SECURITIES, LLC

Office #1: 111 Monument Circle Suite 2700, Indianapolis, IN 46204
BD
CRD#: 36673
INDIANAPOLIS, IN
Past

November 16, 2016 - October 29, 2024

CONCORDE INVESTMENT SERVICES, LLC

BD
CRD#: 151604
Indianapolis, IN
Past

November 9, 2006 - November 17, 2016

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

BD
CRD#: 13609
INDIANAPOLIS, IN

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
Alabama
(10/23/2024)
RR
Arizona
(10/23/2024)
RR
California
(10/23/2024)
RR
Colorado
(10/23/2024)
RR
Florida
(10/23/2024)
RR
Idaho
(12/2/2024)
RR
Illinois
(10/23/2024)
RR
Indiana
(10/23/2024)
RR
Massachusetts
(10/23/2024)
RR
Michigan
(10/23/2024)
RR
Missouri
(10/23/2024)
RR
North Dakota
(10/23/2024)
RR
Ohio
(2/20/2025)
RR
Tennessee
(10/23/2024)
RR
Washington
(9/16/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 11/7/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 22
Date: 11/8/2006
Direct Participation Programs Representative Examination
SRO Registrations
RR
FINRA

Current Firm

DS
DAI SECURITIES, LLC
DAI SECURITIES, LLC | LEWIS FINANCIAL GROUP, L.C.

CRD#: 36673 / SEC#: , 8-47393

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

Main Address
2800 Century Parkway Ne Suite 650, Atlanta, GA 30345
Mailing Address
2800 Century Parkway Ne Suite 650, Atlanta, GA 30345
Phone number
(404) 531-7080
Established
Minnesota since 05/31/2019
Firm type
Limited Liability Company
Fiscal year end
December
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#
DAI HOLDINGS, LLCMEMBER
CC CAPITAL HOLDINGS, LLCMEMBER
MICHAEL O'TOOLE REAL ESTATE, INC.MEMBER
CARTER, ANA RFINOP4424794
INGBER, MATTHEW ALANCOO3261552
MICHALETZ, CHRISTINE ELLENMANAGING MEMBER6004009
MICHALETZ, JOSEPH GERARDCEO1327534
STRAUSS, ERNEST GEORGE IVCCO4660664

Disclosures

Regulatory Event2

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

DAI SECURITIES, LLC

CRD#: 36673Indianapolis, IN 46204

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