Richard ChapmanCRD Number: 5574189
Current Firm: Strategic Advisers, Inc.
Richard Chapman (CRD# 5574189) is an Investment Advisor Representative working at Strategic Advisers, Inc. in Salt Lake City, UT and has over 9 years of experience in the finance industry.
Uma Financial Services Inc.
Brighton Wealth Management, Inc.
|Fidelity||Salt Lake City, UT||Apr 2012 - Current||5|
|Unemployed||Park City, UT||Oct 2011 - Apr 2012||< 1|
|Park City Group||Park City, UT||Jan 2011 - Oct 2011||< 1|
|Unemployed||Park City, UT||Jul 2010 - Jan 2011||< 1|
|Morgan Stanley Smith Barney||Park City, UT||Jun 2009 - Jul 2010||1|
|Morgan Stanley||Park City, UT||Jul 2008 - Jul 2010||2|
|Target Marketing LLC||Park City, UT||Dec 2007 - Jul 2008||< 1|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Oct 2008|
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:
- Customer Dispute
Total Assets Under Management254,026MILLIONS
Total Number of Accounts688,691ACCOUNTS
Average Account Value$368,854
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies (as well as "business development companies")
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops