William ChapmanCRD Number: 1799485
Current Firm: Hilltop Securities Inc.
William Chapman (CRD# 1799485) is an Investment Advisor Representative working at Hilltop Securities Inc. in Beverly Hills, CA and has over 26 years of experience in the finance industry. William Chapman has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Jst Investment Consulting
Fried Asset Management, Inc.
|Hilltop Securities Inc.||Beverly Hills, CA||Jan 2007 - Current||10|
|Waterhouse Securities, Inc.||Beverly Hills, CA||Nov 1997 - Dec 2006||9|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jan 1991|
|S65||NASAA Investment Advisors Law Examination||Aug 2001|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Criminal Record
Total Assets Under Management927MILLIONS
Total Number of Accounts3,659ACCOUNTS
Average Account Value$253,402
- A percentage of assets under your management
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV