Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Chadwick? Claim Your ProfileChadwick Michael Capps is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Chadwick Capps has been in the industry since June 24, 2018 and is licensed to provide investment advice in Florida, Georgia, Kentucky, Massachusetts, Minnesota, North Carolina, Pennsylvania, South Carolina, Tennessee, Texas, and Virginia. Chadwick Capps is also registered with the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC). Prior to joining Merrill Lynch, Chadwick Capps was employed at Wells Fargo Clearing Services, LLC. Chadwick Capps holds Series 6, 7, 63, and 65 licenses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NC
08/23/2019 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CARY NC)
NC
08/05/2016 - 08/10/2017
WELLS FARGO CLEARING SERVICES, LLC (FUQUAY VARNIA NC)
IA
Issued 09/08/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/15/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/30/2019
Series 7TO - General Securities Representative Examination
BC
Issued 08/10/2017
SIE - Securities Industry Essentials Examination
BC
Issued 08/05/2016
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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