Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Denise? Claim Your ProfileDenise Chapman is a financial advisor with over 30 years of experience in the industry. Denise is registered with Wells Fargo Clearing Services, LLC and has held previous registrations with Merrill Lynch, Pierce, Fenner & Smith Incorporated, Salomon Smith Barney Inc., and Lehman Brothers Inc. Denise's specializations include: investment advisory services, financial planning, pension consulting, selection of other advisors, portfolio management for businesses, and portfolio management for individuals. Denise is currently registered as a Registered Representative (RA) with the state of New York.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
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.
Investment consulting services to institutional clients
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.
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2
NY
07/27/2021 - Present
Wells Fargo Clearing Services, LLC (Smithtown NY)
NY
08/08/2001 - 03/06/2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SMITHTOWN NY)
NY
07/31/1993 - 08/10/2001
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
04/18/1989 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
BC
Issued 05/18/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/15/1989
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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