Douglas D. 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.
Douglas Duane Chapman, who also goes by Doug Duane Chapman, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1979. Douglas had worked at 3 firms and has passed the Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 6, 1994 - February 10, 1998
AMERICAN HEARTLAND INVESTMENTS INC.
July 17, 1992 - August 3, 1992
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 21, 1979 - July 15, 1992
WADDELL & REED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 5/11/1979
Registered Representative ExaminationCurrent Firm
AMERICAN HEARTLAND INVESTMENTS INC.
CRD#: 19768 / SEC#: , 8-39577
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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