Charles B. Chapman
Professional summary
Charles Benjamin Chapman, who also goes by Ben Chapman, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Troy, Alabama and CETERA INVESTMENT SERVICES LLC located in Dothan, Alabama.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Charles has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Charles Benjamin Chapman's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 20, 2018 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1000 Us Highway 231 South, Troy, AL 36081April 20, 2018 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 1315 West Main Street, Dothan, AL 36301Office #2: 1000 Us Hwy 231 South, Troy, AL 36081December 14, 2009 - April 18, 2018
MORGAN STANLEY
December 14, 2009 - April 18, 2018
MORGAN STANLEY
January 9, 2009 - November 24, 2009
MORGAN KEEGAN & COMPANY, LLC
December 9, 2008 - November 24, 2009
MORGAN KEEGAN & COMPANY, LLC
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/20/2018)
(4/20/2018)
(9/12/2022)
(6/19/2018)
(4/20/2018)
(4/20/2018)
(1/3/2022)
(9/12/2022)
(9/12/2022)
(3/10/2020)
(4/20/2018)
(6/19/2018)
(9/12/2022)
(6/20/2018)
(6/19/2018)
(1/10/2020)
(6/19/2018)
(6/19/2018)
(9/12/2022)
Exams
FINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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.
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