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Rachel K. Chapman

Some features on this profile are disabled
CRD#: 6058136
RC

Professional summary

Rachel Katherine Chapman was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Rachel is a previously registered financial professional and started their career in finance in 2017. Prior to being barred, Rachel had worked at 1 firm, which includes ARTIST CAPITAL LLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 8, 2017 - November 14, 2023

ARTIST CAPITAL LLC

BD
CRD#: 153937
Charlotte, NC

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/12/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/8/2017
General Securities Representative Examination

Current Firm

AC
ARTIST CAPITAL LLC
ARTIST CAPITAL INC. | ARTIST CAPITAL LLC

CRD#: 153937 / SEC#: , 8-68598

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

Main Address
20 West 55th Street 11th Floor, New York, NY 10019
Mailing Address
20 West 55th Street 11th Floor, New York, NY 10019
Phone number
(212) 218-7632
Established
Delaware since 02/29/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 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#
HILLY HUNDREDOWNER, LIMITED PARTNERSHIP
SADOWSKI, DENISE MICHELLECCO, EXECUTIVE REP., HOME OFFICER SUPER., AML SUPER.4368034
SANDS, JONATHAN THOMASPRESIDENT2739071
STOVER, MATTHEW GRAHAMCFO, FINOP5266972

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

ARTIST CAPITAL LLC

CRD#: 153937

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