John H. Chapel

AURORA PRIVATE WEALTH

Charlestown, RI 02813

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CRD#: 857747

Professional summary

John H Chapel, who also goes by John Howard Chapel, is a registered financial advisor currently at AURORA PRIVATE WEALTH, INC. located in Charlestown, Rhode Island and APW CAPITAL, INC. located in Charlestown, Rhode Island.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. John has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24, Series 8 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John Howard Chapel

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.

Aurora Private Wealth, Inc., Investment related:Yes, 11 OCEAN RIDGE DR, Charlestown, Rhode Island, 02813, , Wealth Advisor, 01/01/2019, 50 hours per week, Advise and provide advisory services

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John H Chapel'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

January 3, 2019 - Present

AURORA PRIVATE WEALTH, INC.

Office #1: 11 Ocean Ridge Drive, Charlestown, RI 02813

RIA

CRD#: 281604

Charlestown, RI

Current

January 2, 2019 - Present

APW CAPITAL, INC.

CRD#: 43814

Charlestown, RI

Past

May 2, 2016 - December 31, 2018

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Flemington, NJ

Past

January 21, 2015 - December 31, 2018

INSIGHT PRIVATE ADVISORS, LLC

RIA

CRD#: 169017

FLEMINGTON, NJ

Past

May 23, 2013 - October 28, 2015

LPL FINANCIAL LLC

RIA

CRD#: 6413

FLEMINGTON, NJ

Past

May 17, 2013 - May 2, 2016

LPL FINANCIAL LLC

CRD#: 6413

FLEMINGTON, NJ

Past

January 14, 2011 - May 20, 2013

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

LAWRENCEVILLE, NJ

Past

January 3, 2011 - May 20, 2013

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

LAWRENCEVILLE, NJ

Past

September 9, 2010 - September 30, 2010

STOCKCROSS FINANCIAL SERVICES, INC.

CRD#: 6670

BEVERLY HILLS, CA

Past

June 9, 2010 - September 1, 2010

STOCKCROSS FINANCIAL SERVICES, INC.

CRD#: 6670

BEVERLY HILLS, CA

Past

October 22, 1996 - June 15, 1998

WASHINGTON DISCOUNT BROKERAGE CORP.

CRD#: 34217

NEW YORK, NY

Past

August 31, 1981 - October 4, 2000

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

AURORA PRIVATE WEALTH, INC.

CRD#: 281604 / SEC#: 801-110498

RIA

Registered Investment Advisory firm - (5/5/2017 Approved)

California

Registered Investment Advisory firm - (6/4/2017 Terminated)

Florida

Registered Investment Advisory firm - (5/5/2017 Terminated)

New Jersey

Registered Investment Advisory firm - (5/24/2017 Terminated)

Ohio

Registered Investment Advisory firm - (5/5/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Maryland
(10/27/2021)

New Jersey
(1/3/2019)

IAR

New Jersey
(1/3/2019)

New York
(5/22/2019)

Rhode Island
(1/3/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/24/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/1/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/8/2010

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/29/2010

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 2/27/1990

General Securities Sales Supervisor Examination (Options Module & General Module)

Principal/Supervisory Exam

Series 4

Date: 2/2/1982

Registered Options Principal Examination

SRO Registrations

FINRA

Current Firm

AURORA PRIVATE WEALTH, INC.

CRD#: 281604 / SEC#: 801-110498

RIA

Registered Investment Advisory firm - (5/5/2017 Approved)

California

Registered Investment Advisory firm - (6/4/2017 Terminated)

Florida

Registered Investment Advisory firm - (5/5/2017 Terminated)

New Jersey

Registered Investment Advisory firm - (5/24/2017 Terminated)

Ohio

Registered Investment Advisory firm - (5/5/2017 Terminated)

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Contact information

Main Address

100 Enterprise Drive Suite 504, Rockaway, NJ 07866

Mailing Address

Phone number

(973) 394-0404

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (34 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AURORA PW ADV 2A (7/17/2025)

AURORA PW WRAP BROCHURE (3/11/2025)

Regulatory assets under management

Total Number of Accounts	1,843
AUM (Assets Under Management)	$ 395,308,639

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

John H. Chapel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John H Chapel's CRS (Customer Relationship Summary).

Certified licenses

Experience

APW CAPITAL, INC.

PURSHE KAPLAN STERLING INVESTMENTS

INSIGHT PRIVATE ADVISORS, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

STOCKCROSS FINANCIAL SERVICES, INC.

STOCKCROSS FINANCIAL SERVICES, INC.

WASHINGTON DISCOUNT BROKERAGE CORP.

TD AMERITRADE, INC.

Primary Firm SEC Registration

AURORA PRIVATE WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/24/2010

Series 63

Date: 11/1/1984

SIE

Date: 10/1/2018

Series 7

Date: 6/8/2010

Series 24

Date: 9/29/2010

Series 8

Date: 2/27/1990

Series 4

Date: 2/2/1982

FINRA

Current Firm

AURORA PRIVATE WEALTH, INC.

Contact information

SEC notice filing (34 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AURORA PRIVATE WEALTH, INC.

TRUST BUT VERIFY

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