Articles Tagged with Securian Financial Services

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Douglas ChapmanPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 11, 2018 indicate that New Jersey-based Securian Financial Services broker/adviser Douglas Chapman has received customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Chapman (CRD# 2230482).

Douglas Chapman has spent 25 years in the securities industry and has been registered with Securian Financial Services in Clark, New Jersey since 2004. He was previously registered with WS Griffith Securities in Hartford, Connecticut (1992-2004). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 4, 1993; Series 7 (General Securities Representative Examination), which he obtained on October 28, 1997; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on April 22, 1992. He is a registered broker and investment adviser with 22 US states and territories: California, Connecticut, Delaware, Florida, Georgia, Illinois, Maryland, Massachusetts, New Hampshire, New Jersey, New York, North Carolina, Ohio, Oregon, Pennsylvania, Rhode Island, South Carolina, Texas, Vermont, and Virginia.

According to his BrokerCheck report, he has received two customer complaints and two denied customer complaints.

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James McCloskeyPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 18, 2017 indicate that California-based Securian Financial Services broker/adviser James McCloskey has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. McCloskey (CRD# 2844851).

James McCloskey has spent 20 years in the securities industry and has been registered with Securian Financial Services in Newport Beach, California since 1997. He was previously registered with NSHD Financial and Insurance Services in Newport Beach, California (2001-2005). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); Series 6 (Investment Company Products/Variable Contracts Representative Examination); and Series 24 (General Securities Principal Examination). He is registered as a broker and investment adviser in California.

According to his BrokerCheck report, he has received one pending customer complaint and one denied customer complaint.