SC
Samuel C. Chapman
ROBINHOOD FINANCIAL
Denver, CO 80202
Some features on this profile are disabled
CRD#: 6448509
SC
Professional summary
Samuel Cole Chapman, who also goes by Sam Chapman, Samuel Chapman, Samuel Cole Chapman, is a registered financial professional 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.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Sam Chapman | Samuel Chapman | Samuel Cole 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.
CRS (Client Relationship Summary) - BD
Click below to view Samuel Cole 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®
NoneExperience
Current
March 20, 2023 - Present
ROBINHOOD FINANCIAL, LLC
Office #1: 2373 15th St Suite 300, Denver, CO 80202BD
CRD#: 165998
Denver, CO
Past
November 11, 2020 - August 10, 2022
ROBINHOOD FINANCIAL, LLC
BD
CRD#: 165998
Denver, CO
Past
August 23, 2017 - October 28, 2020
TRANSAMERICA RETIREMENT ADVISORS, LLC
RIA
CRD#: 107319
Denver, CO
Past
August 23, 2017 - October 28, 2020
TRANSAMERICA INVESTORS SECURITIES, LLC
BD
CRD#: 32205
DENVER, CO
Past
August 4, 2016 - August 9, 2017
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
DENVER, CO
Past
July 9, 2016 - August 9, 2017
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
DENVER, CO
Past
March 20, 2015 - July 6, 2016
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
LAKEWOOD, CO
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(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
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
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)
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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
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROBINHOOD MARKETS, INC | 100% OWNER | |
| BILLINGS, MATTHEW JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 1915377 |
| CAVALLARO, ANTHONY JOSEPH | CHIEF COMPLIANCE OFFICER | 1607925 |
| GALVIN, SCOT SEAN | PRINCIPAL OPERATIONS OFFICER | 3226179 |
| KELATI, DANIEL T | CHIEF FINANCIAL OFFICER AND PRINCIPAL FINOP | 3103432 |
| KOLLER, WALTER | CHIEF OPERATING OFFICER | 1932260 |
| QUIRK, STEVEN MARK | MANAGER | 2728768 |
| SUBRAMANIAN, SIVARAMAKRISHNAN | MANAGER | 7339479 |
Disclosures
| Regulatory Event | 55 |
| Arbitration | 6 |
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.
