Charles Chapman, financial advisor Troy AL

Charles Chapman

CRD Number: 5610131
Current Firm: Cetera Investment Advisers LLC

Charles Chapman (CRD# 5610131) is an Investment Advisor Representative working at Cetera Investment Advisers LLC in Troy, AL and has over 15 years of experience in the finance industry.

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Company Name Location Dates Years
Troy Bank And Trust Company Troy, AL Apr 2018 - Current 5
Cetera Investment Advisers LLC Troy, AL Apr 2018 - Current 5
Cetera Investment Services LLC St. Cloud, MN Apr 2018 - Current 5
Morgan Stanley Private Bank, National Association New York, NY Jan 2015 - Apr 2018 3
Morgan Stanley Smith Barney LLC Dothan, AL May 2014 - Apr 2018 3
Morgan Stanley Smith Barney LLC Montogmery, AL Dec 2009 - May 2014 4
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Jan 2009
Contact Info for Charles B. Chapman
Phone Number: 888-528-2987
Registered State(s):
  • AL
By the Numbers
  • Total Assets Under Management
    33,356
    MILLIONS
  • Total Number of Accounts
    176,986
    ACCOUNTS
  • Average Account Value
    $188,469
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

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, VI, VT, WA, WI, WV, WY

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