Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Floyd? Claim Your ProfileFloyd Raymond Chapman is a financial advisor with SB Advisory, LLC. Floyd has been working in the financial services industry since 1993 and holds a variety of licenses and certifications, including Series 7, 24, 27, 50, 52, 53, 63, 65 and SIE. Floyd provides financial planning and portfolio management services to individuals and high-net-worth individuals. Floyd also maintains a law practice, the Law Office of Floyd Chapman, PLLC.
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.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
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2
WA
03/24/2021 - Present
SB Advisory, LLC (Tacoma WA)
NY
07/21/2020 - 03/09/2021
AMERIVET SECURITIES, INC. (NEW YORK NY)
WA
05/11/2018 - 09/03/2019
IFS SECURITIES (Tacoma WA)
CA
03/22/2017 - 09/22/2017
NMS CAPITAL ADVISORS, LLC. (NEWPORT BEACH CA)
WA
06/10/2015 - 04/28/2016
NMS CAPITAL ADVISORS, LLC. (Tacoma WA)
WA
01/28/2015 - 08/19/2015
NMS CAPITAL SECURITIES, LLC (Tacoma WA)
HI
08/12/2002 - 01/09/2015
NYLIFE SECURITIES LLC (HONOLULU HI)
MD
02/25/2002 - 06/14/2002
THE CHAPMAN CO. (COLUMBIA MD)
CA
08/02/2001 - 02/20/2002
FIRST GLOBAL SECURITIES, INC. (PASADENA CA)
CA
03/22/1996 - 08/01/2001
ZAHORIK COMPANY, INC. (PASADENA CA)
LA
12/07/1993 - 08/09/1994
DOLEY SECURITIES, INC. (NEW ORLEANS LA)
CA
05/18/1992 - 02/09/1993
KENNEDY, CABOT & CO. (BEVERLY HILLS CA)
NA
03/05/1991 - 06/18/1991
FIRST CHOICE SECURITIES CORP.
NA
08/29/1990 - 11/07/1990
CARTWRIGHT SECURITIES, INC.
NA
11/02/1987 - 11/14/1988
AMI SECURITIES, INC.
NA
08/13/1987 - 11/17/1987
KENNEDY, CABOT & CO.
NA
04/09/1986 - 12/05/1986
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
NA
07/24/1985 - 01/23/1986
BARABAN SECURITIES, INC.
IA
Issued 03/07/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/23/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/21/2001
Series 53 - Municipal Securities Principal Examination
BC
Issued 06/06/1994
Series 27 - Financial and Operations Principal Examination
BC
Issued 10/22/1987
Series 24 - General Securities Principal Examination
BC
Issued 10/09/1987
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/22/2017
Series 50 - Municipal Advisor Representative Qualification Exam
BC
Issued 07/20/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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