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Annette M. Chapman
CETERA INVESTMENT ADVISERS LLC
OAKLAND, MD 21550
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CRD#: 5368972
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Professional summary
Annette Marie Chapman, CFP®, who also goes by Annette M Chapman, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Oakland, Maryland and CETERA INVESTMENT SERVICES LLC located in Oakland, Maryland.
Annette is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Annette has worked at 2 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Annette M 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.
"1.)FIRST UNITED BANK AND TRUST, RELATIONSHIP MANAGER FOR TRUST ACCOUNTS BUT DOES NOT PLACE TRADES, RECOMMEND TRANSACTIONC, OR MAKE INVEST MENT DECISIONS;
2.)TRUST OFFICER FOR FIRST UNITED INVESTMENT SERVICES;PERFORMING FINANCIAL AND ESTATE PLANNING, DO NOT PROVIDE INVESTMENT ADVICE OR PLACE TRADES. 3.) GARRETT MENTORS BOARD MEMBER/TREASURER NO CHECK WRITING, PRESENT FINANCIAL INFO TO BOARD AND SIGN TAX RETURNS."
CRS (Client Relationship Summary) - RIA
Click below to view Annette Marie Chapman's 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®
CFP®
Start date: 1997
Experience
Current
March 7, 2017 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 19 S Second Street, Oakland, MD 21550RIA
CRD#: 105644
OAKLAND, MD
Current
August 23, 2007 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 19 South Second Street, Oakland, MD 21550BD
CRD#: 15340
Oakland, MD
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Connecticut(7/7/2017)
RR
Delaware(11/15/2021)
RR
Florida(10/15/2024)
RR
Maryland(9/6/2007)
IAR
Maryland(3/7/2017)
RR
Nevada(2/13/2018)
RR
Pennsylvania(3/10/2010)
RR
Texas(10/15/2024)
IAR
Texas(10/15/2024)
RR
Utah(7/3/2024)
RR
Virginia(9/22/2025)
RR
West Virginia(2/14/2008)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
