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Samuel Chapman

ROBINHOOD FINANCIAL
Denver, CO
·CRD# 6448509·11 years registered

Professional Summary

Samuel Chapman, who also goes by Sam Chapman, Samuel Chapman, Samuel Cole Chapman, is a registered financial advisor currently at ROBINHOOD FINANCIAL, LLC located in Denver, Colorado. Samuel is registered as a RR (Registered Representative) and started their career in finance in 2015. Samuel has worked at 5 firms and has passed the Series 66, SIE, Series 7, Series 6, Series 9 and Series 10 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Sam Chapman, Samuel Chapman, Samuel Cole Chapman

Blog Corner

More Resources

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

11 years registered in the securities industry

Current & Past Employments

Current

ROBINHOOD FINANCIAL, LLCCurrent·CRD# 165998
BD
2373 15th St Suite 300, Denver, CO 80202
March 20, 2023 - Present

Past

ROBINHOOD FINANCIAL, LLCPast·CRD# 165998
BD
Denver, CO
November 11, 2020 - August 10, 2022
TRANSAMERICA RETIREMENT ADVISORS, LLCPast·CRD# 107319
RIA
Denver, CO
August 23, 2017 - October 28, 2020
TRANSAMERICA INVESTORS SECURITIES, LLCPast·CRD# 32205
BD
Denver, CO
August 23, 2017 - October 28, 2020
THRIVENT INVESTMENT MANAGEMENT INC.Past·CRD# 18387
RIA
Denver, CO
August 4, 2016 - August 9, 2017
THRIVENT INVESTMENT MANAGEMENT INC.Past·CRD# 18387
BD
Denver, CO
July 9, 2016 - August 9, 2017
J.P. MORGAN SECURITIES LLCPast·CRD# 79
BD
Lakewood, CO
March 20, 2015 - July 6, 2016

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Current Firm

RF
ROBINHOOD FINANCIAL, LLC

CHRONOS FINANCIAL, LLC | ROBINHOOD FINANCIAL, LLC

CRD#: 165998 / SEC#: 8-69188
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)

Contact Information

Main Address

500 Colonial Center Parkway Suite 100, Lake Mary, FL 32746

Mailing Address

500 Colonial Center Parkway Suite 100, Lake Mary, FL 32746

Phone Number

(650) 761-7789

Established

Delaware since 08/24/2012

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Large

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ROBINHOOD MARKETS, INC100% OWNER—
BILLINGS, MATTHEW JOHNPRESIDENT, CHIEF EXECUTIVE OFFICER1915377
CAVALLARO, ANTHONY JOSEPHCHIEF COMPLIANCE OFFICER1607925
KELATI, DANIEL TCHIEF FINANCIAL OFFICER AND PRINCIPAL FINOP3103432
KOLLER, WALTERCHIEF OPERATING OFFICER1932260
QUIRK, STEVEN MARKMANAGER2728768
SCHAFFER, VINCENTPRINCIPAL OPERATIONS OFFICER5353999

Disclosures

Regulatory Event

56

Arbitration

13

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Alabama
(3/20/2023)
RR
Alaska
(3/20/2023)
RR
Arizona
(3/20/2023)
RR
Arkansas
(3/20/2023)
RR
California
(3/20/2023)
RR
Colorado
(3/20/2023)
RR
Connecticut
(3/20/2023)
RR
Delaware
(3/20/2023)
RR
District of Columbia
(3/20/2023)
RR
Florida
(3/20/2023)
RR
Georgia
(3/20/2023)
RR
Hawaii
(3/20/2023)
RR
Idaho
(3/20/2023)
RR
Illinois
(3/20/2023)
RR
Indiana
(3/20/2023)
RR
Iowa
(3/20/2023)
RR
Kansas
(3/20/2023)
RR
Kentucky
(3/20/2023)
RR
Louisiana
(3/20/2023)
RR
Maine
(3/20/2023)
RR
Maryland
(3/20/2023)
RR
Massachusetts
(3/20/2023)
RR
Michigan
(3/20/2023)
RR
Minnesota
(3/20/2023)
RR
Mississippi
(3/20/2023)
RR
Missouri
(3/20/2023)
RR
Montana
(3/20/2023)
RR
Nebraska
(3/20/2023)
RR
Nevada
(3/20/2023)
RR
New Hampshire
(3/20/2023)
RR
New Jersey
(3/20/2023)
RR
New Mexico
(3/20/2023)
RR
New York
(3/20/2023)
RR
North Carolina
(3/20/2023)
RR
North Dakota
(3/20/2023)
RR
Ohio
(3/20/2023)
RR
Oklahoma
(3/20/2023)
RR
Oregon
(3/20/2023)
RR
Pennsylvania
(3/20/2023)
RR
Puerto Rico
(3/20/2023)
RR
Rhode Island
(3/20/2023)
RR
South Carolina
(3/20/2023)
RR
South Dakota
(3/20/2023)
RR
Tennessee
(3/20/2023)
RR
Texas
(3/20/2023)
RR
Utah
(3/20/2023)
RR
Vermont
(3/20/2023)
RR
Virgin Islands
(3/20/2023)
RR
Virginia
(3/20/2023)
RR
Washington
(3/20/2023)
RR
West Virginia
(3/20/2023)
RR
Wisconsin
(3/20/2023)
RR
Wyoming
(3/20/2023)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Aug 2016About the Series 66 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jul 2016About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Mar 2015About the Series 6 exam

Series 9 — General Securities Sales Supervisor - Options Module Examination

Passed Mar 2022About the Series 9 exam

Series 10 — General Securities Sales Supervisor - General Module Examination

Passed Mar 2022About the Series 10 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Samuel Chapman's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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