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MARK JOSEPH CHAPMAN
CRD#: 4140433
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 400 CAPITOL MALL STE 1700
SACRAMENTO, CA 95814
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2000 - 2008 (8 years)2 FIRMS2008 - 2009 (1 year)2 FIRMS2009 - 2018 (9 years)2 FIRMS2018 - Present (6 years)
Disclosure(s)
View By:
2/2/2004
Customer Dispute
Denied
License(s)

State Registrations

B
Alaska 8/29/2018

B
Missouri 11/14/2024

B
Arizona 8/29/2018

B
Nevada 8/29/2018

B
Arkansas 1/30/2024

IA
Nevada 1/16/2025

B
California 8/29/2018

B
New York 3/17/2023

IA
California 8/30/2018

B
North Carolina 8/29/2018

B
Colorado 8/29/2018

B
Ohio 8/29/2018

B
District of Columbia 8/29/2018

B
South Carolina 1/6/2024

B
Florida 8/29/2018

B
Tennessee 12/22/2020

B
Georgia 11/23/2022

B
Texas 11/23/2022

B
Hawaii 8/29/2018

IA
Texas 11/29/2022

B
Idaho 7/29/2024

B
Virginia 8/29/2018

B
Maryland 10/8/2018

B
Washington 1/9/2020

B
Minnesota 8/31/2018

B
Wyoming 9/5/2024

SRO Registrations

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
400 CAPITOL MALL STE 1700, SACRAMENTO, CA 95814
GRANITE BAY, CA
Registered with this firm since 8/30/2018

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
400 CAPITOL MALL STE 1700, SACRAMENTO, CA 95814
GRANITE BAY, CA
Registered with this firm since 8/29/2018

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/01/2009 - 08/30/2018 MORGAN STANLEY (CRD#:149777) SACRAMENTO, CA
B
06/01/2009 - 08/30/2018 MORGAN STANLEY (CRD#:149777) SACRAMENTO, CA
IA
04/16/2008 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SACRAMENTO, CA
B
04/16/2008 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SACRAMENTO, CA
IA
06/22/2000 - 04/29/2008 UBS FINANCIAL SERVICES INC. (CRD#:8174) SACRAMENTO, CA
B
04/17/2000 - 04/29/2008 UBS FINANCIAL SERVICES INC. (CRD#:8174) SACRAMENTO, CA
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.