David R. Chapman
Professional summary
David Richard Chapman was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
David is a previously registered financial professional and started their career in finance in 1981. Prior to being barred, David had worked at 9 firms, which includes IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC, MORGAN STANLEY DW INC., AMERICAN CAPITAL CORPORATION, LEGG MASON WOOD WALKER INCORPORATED, INTEGRATED RESOURCES EQUITY CORPORATION, LEGG MASON MASTEN INC., SANDLER SECURITIES INC., NEW ENGLAND SECURITIES.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 1998 - November 11, 1999
IDS LIFE INSURANCE COMPANY
October 7, 1998 - November 11, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
October 24, 1997 - July 8, 1998
MORGAN STANLEY DW INC.
October 17, 1991 - December 31, 1991
AMERICAN CAPITAL CORPORATION
July 7, 1989 - August 28, 1991
LEGG MASON WOOD WALKER, INCORPORATED
February 29, 1988 - July 26, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
February 28, 1988 - July 26, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
November 3, 1987 - January 25, 1988
LEGG MASON WOOD WALKER, INCORPORATED
October 30, 1987 - November 4, 1987
LEGG MASON MASTEN INC.
March 22, 1983 - August 28, 1991
LEGG MASON WOOD WALKER, INCORPORATED
March 25, 1982 - March 8, 1983
SANDLER SECURITIES, INC.
July 30, 1981 - March 9, 1983
NEW ENGLAND SECURITIES
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
IDS LIFE INSURANCE COMPANY
CRD#: 6321 / SEC#: , 8-14124
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERIPRISE FINANCIAL, INC. | SHAREHOLDER | |
| ALVERO, GUMER CRUZ | DIRECTOR, EVP - ANNUITIES | 1975307 |
| BECHTOLD, TIMOTHY VERNON | DIRECTOR, PRESIDENT | 1621000 |
| BERMAN, ARTHUR HOWARD | DIRECTOR, EVP - FINANCE | 4591628 |
| RUETHER, JULIE ANN | CHIEF COMPLIANCE OFFICER | 1090661 |
| SCHWARZMANN, MARK EDWARD | DIRECTOR, CEO, COB | 4742555 |
| STEWART, DAVID KENT | VICE PRESIDENT AND CONTROLLER | 2990869 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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