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Richard Carleton Chapman

Kestra Investment Services, LLC

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About Richard Carleton Chapman

Richard Chapman has been in the financial services industry since 2008. He is currently registered with Kestra Investment Services, LLC and has a Series 6 license and a Series 63 license. Richard Chapman has previously been employed by VALMARK SECURITIES, INC., NFP SECURITIES, INC., CLARK SECURITIES, INC. and CLARK-BARDES SECURITIES, INC. Richard Chapman is registered in Illinois, Iowa, Minnesota, Nebraska, North Dakota and Pennsylvania.

Firm Information

Richard Chapman is currently registered with Kestra Investment Services, LLC. Kestra Investment Services, LLC is a Limited Liability Company formed in September 2014 and is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has been involved in 14 regulatory events and 2 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

302

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Richard Chapman’s Registration & Firm History

PA

04/20/2021 - Present

Kestra Investment Services, LLC (Warrington PA)

MN

04/13/2016 - 09/23/2020

VALMARK SECURITIES, INC. (Minneapolis MN)

MN

09/18/2007 - 04/08/2010

NFP SECURITIES, INC. (MENDOTA HEIGHTS MN)

MN

07/02/2001 - 12/21/2005

CLARK SECURITIES, INC. (BLOOMINGTON MN)

TX

08/18/2000 - 07/02/2001

CLARK-BARDES SECURITIES, INC. (DALLAS TX)

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Licenses & Designations

BC

Issued 03/21/2016

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/13/2016

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Richard Carleton Chapman.
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