James S. Chapman
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Scott Chapman was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1981. James had worked at 5 firms and has passed the Series 63, Series 3, Series 5, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 2, 2000 - October 12, 2012
LUMENT SECURITIES, LLC
April 1, 1999 - October 12, 1999
BANC ONE CAPITAL MARKETS, INC.
August 31, 1990 - April 1, 1999
BANC ONE CAPITAL MARKETS, INC.
January 19, 1982 - August 31, 1990
MEUSE, RINKER, CHAPMAN, ENDRES & BROOKS
March 23, 1981 - September 19, 1981
CRANSTON SECURITIES COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 11/20/1981
Interest Rate Options ExaminationCurrent Firm
LUMENT SECURITIES, LLC
CRD#: 14840 / SEC#: , 8-31175
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LUMENT REAL ESTATE CAPITAL HOLDINGS, LLC | SHAREHOLDER | |
| CROFT, JAMES FRANCIS | CHAIRMAN, BOARD OF MANAGERS | 2148025 |
| KIRKWOOD, ROBERT THOMAS | CHIEF EXECUTIVE OFFICER, BOARD OF MANAGERS | 6025468 |
| MAINELLI, KEVIN JOSEPH | MANAGING DIRECTOR - CHIEF COMPLIANCE OFFICER | 1751991 |
| SMITH, MARY AGNES | CHIEF FINANCIAL OFFICER AND FINOP | 2498307 |
Red Flags
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