Riley M. Chapman

GT SECURITIES

Los Angeles, CA 90094

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CRD#: 7447049

Professional summary

Riley M Chapman, who also goes by Riley Moore Chapman, is a registered financial professional currently at GT SECURITIES, INC. located in Los Angeles, California.

Riley is registered as a RR (Registered Representative) and started their career in finance in 2021. Riley has worked at 6 firms and has passed the Series 63, Series 65, Series 79TO, Series 7TO, Series 6TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Riley Moore 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.

Blog Corner

CRS (Client Relationship Summary) - BD

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

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®

None

Experience

Current

February 11, 2024 - Present

GT SECURITIES, INC.

Office #1: 12130 Millennium Dr Suite 300, Los Angeles, CA 90094

CRD#: 116012

Los Angeles, CA

Past

September 5, 2023 - October 20, 2023

MORGAN STANLEY

RIA

CRD#: 149777

Temple Terrace, FL

Past

January 25, 2023 - October 20, 2023

MORGAN STANLEY

CRD#: 149777

Temple Terrace, FL

Past

June 14, 2022 - September 5, 2023

HARRISDIRECT LLC

RIA

CRD#: 42159

Temple Terrace, FL

Past

May 13, 2022 - September 5, 2023

E*TRADE SECURITIES LLC

CRD#: 29106

Temple Terrace, FL

Past

December 13, 2021 - February 27, 2022

TRINITY WEALTH SECURITIES, L.L.C.

CRD#: 104348

Tampa, FL

Past

September 30, 2021 - February 27, 2022

FLORIDA FINANCIAL ADVISORS, LLC

RIA

CRD#: 288811

Tampa, FL

State Registrations and Notice Filings

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

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

Alabama
(5/6/2024)

Arizona
(6/16/2025)

California
(2/11/2024)

Connecticut
(11/22/2024)

Florida
(2/11/2024)

Georgia
(5/6/2024)

Illinois
(10/27/2025)

Indiana
(9/16/2024)

Massachusetts
(8/7/2024)

Michigan
(7/3/2024)

New York
(5/6/2024)

North Carolina
(5/6/2024)

Rhode Island
(8/7/2024)

Texas
(5/6/2024)

Exams

State Security Law Exam

Series 63

Date: 7/19/2022

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 9/20/2021

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 79TO

Date: 3/1/2024

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7TO

Date: 6/1/2022

General Securities Representative Examination

General Industry/Product Exam

Series 6TO

Date: 12/13/2021

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 7/15/2021

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

GT SECURITIES, INC.

GROWTHINK SECURITIES, INC. | GT SECURITIES, INC. | GROWTHINK, INC.

CRD#: 116012 / SEC#: , 8-53527

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

12130 Millennium Dr Suite 300, Los Angeles, CA 90094

Mailing Address

12130 Millennium Dr, Los Angeles, CA 90094

Phone number

(310) 846-5004

Established

California since 12/06/2001

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
GROWTHINK, INC.	PARENT CORPORATION
MUELLER, MICHELLE	CHIEF COMPLIANCE OFFICER	6707697
TURO, JAMES STEVEN	MANAGING DIRECTOR	2083402

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.

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Firm Stability Insights

Riley M. Chapman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

MORGAN STANLEY

MORGAN STANLEY

HARRISDIRECT LLC

E*TRADE SECURITIES LLC

TRINITY WEALTH SECURITIES, L.L.C.

FLORIDA FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/19/2022

Series 65

Date: 9/20/2021

Series 79TO

Date: 3/1/2024

Series 7TO

Date: 6/1/2022

Series 6TO

Date: 12/13/2021

SIE

Date: 7/15/2021

FINRA

Current Firm

GT SECURITIES, INC.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

GT SECURITIES, INC.

TRUST BUT VERIFY

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