Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Loyal? Claim Your ProfileLoyal Chaplin is a financial professional with over 20 years of experience in the industry. Currently registered with MM Ascend Life Investor Services, LLC, Loyal previously held roles at Morgan Stanley DW INC., Thrivent Investment Management INC. and Dalton Strategic Investment Services INC.. Loyal holds multiple FINRA and state licenses and has a track record of success in providing financial advice.
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.
Maintaining registration but not actively providing advisory services
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.
Maintaining registration but not serving clients
1
2
OH
04/11/2007 - Present
MM Ascend Life Investor Services, LLC (CINCINNATI OH)
KY
03/03/2005 - 03/13/2006
MORGAN STANLEY DW INC. (LEXINGTON KY)
MN
05/01/2003 - 03/04/2005
THRIVENT INVESTMENT MANAGEMENT INC. (MINNEAPOLIS MN)
IN
07/23/2002 - 04/11/2003
DALTON STRATEGIC INVESTMENT SERVICES INC. (KNIGHTSTOWN IN)
BOTH
Issued 09/26/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/22/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/22/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 07/22/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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