Steven P. 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.
Steven Perry Chapman was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1975. Steven had worked at 14 firms and has passed the Series 65, Series 63, Series 7, Series 53 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
January 22, 2015 - March 4, 2016
SVB WEALTH
March 4, 2011 - November 26, 2014
BANYAN PARTNERS, LLC
September 25, 2002 - March 4, 2011
WEISS CAPITAL MANAGEMENT, INC.
August 27, 2001 - January 19, 2011
WEISS CAPITAL SECURITIES, INC.
May 11, 1999 - March 13, 2000
ASSET MANAGEMENT SECURITIES CORP.
December 12, 1996 - May 19, 1999
SLAVIC INVESTMENT CORPORATION
March 28, 1995 - October 21, 1996
JWGENESIS SECURITIES, INC.
May 31, 1994 - October 28, 1994
GEORGE K. BAUM & COMPANY
March 8, 1990 - May 31, 1994
GKB, INC.
October 6, 1987 - March 19, 1990
DBLKM INC.
April 29, 1980 - September 24, 1987
WILLIAM BLAIR
March 1, 1978 - May 16, 1980
LEHMAN BROTHERS KUHN LOEB INCORPORATED
January 12, 1976 - March 1, 1978
BLYTH EASTMAN DILLON & CO. INCORPORATED
July 1, 1975 - December 29, 1975
THOMSON MCKINNON SECURITIES INC.
Primary Firm SEC Registration
SVB WEALTH
CRD#: 172832 / SEC#: 801-80480
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
Current Firm
SVB WEALTH
CRD#: 172832 / SEC#: 801-80480
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,739 |
| AUM (Assets Under Management) | $ 4,983,411,995 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/21/2025 | ||
| 09/20/2024 | ||
| 10/31/2022 |
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.
