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Carl Henry Chaput

Ameriprise Financial Services, LLC

Fort Myers, FL

Ft Myers, FL

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Current Employers
Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-01-28
FL RA APPROVED 2017-09-28
NH RA APPROVED 2017-09-15
  • TX RA
    APPROVED
    Since 2021-01-28
  • FL RA
    APPROVED
    Since 2017-09-28
  • NH RA
    APPROVED
    Since 2017-09-15

Branch Locations

12800 University Dr Ste 105, Fort Myers, FL 33907 • United States

Ft Myers, FL • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Robert W. Baird & Co Reston VA 01/2014 12/2016
Unemployed Rye NH 12/2016 09/2017
Ameriprise Financial Services, Inc. Ft Meyers FL 09/2017 03/2020
Ameriprise Financial Services, Llc Fort Myers FL 03/2020 Present
  • 01/2014 → 12/2016
    Robert W. Baird & Co
    Reston, VA
  • 12/2016 → 09/2017
    Unemployed
    Rye, NH
  • 09/2017 → 03/2020
    Ameriprise Financial Services, Inc.
    Ft Meyers, FL
  • 03/2020 → Present
    Ameriprise Financial Services, Llc
    Fort Myers, FL
Previous Registrations
  • 2014-01-03 → 2017-01-10
    Robert W. Baird & Co. Incorporated
    Reston, VA
  • 2002-12-16 → 2013-11-07
    Ubs Financial Services Inc.
    Norfolk, VA
    Weehawken, NJ
    Norfolk, VA
    Roanoke, VA
    Richmond, VA
    Virginia Beach, VA
    Concord, NH
    Manchester, NH
    Manchester, NH
    East Harwich, MA
  • 1998-01-19 → 2002-12-16
    Morgan Stanley Dw Inc.
    Portsmouth, NH
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1997-04-30
S65 Uniform Investment Adviser Law Examination 1997-04-23
  • S63 Uniform Securities Agent State Law Examination
    1997-04-30
  • S65 Uniform Investment Adviser Law Examination
    1997-04-23
Other Names
  • Carl Henry Chaput
  • Carl Henry Chapht

View on SEC IAPD

Other Firms

STIFEL, NICOLAUS & COMPANY, INCORPORATED
BANKERS LIFE ADVISORY SERVICES, INC.
UBS FINANCIAL SERVICES INC.
LPL FINANCIAL LLC
SANCTUARY ADVISORS, LLC
TRUIST ADVISORY SERVICES, INC.
CHARLES SCHWAB & CO., INC.
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Other Investors

DAVID JONATHAN MORELAND
Elizabeth Diane Scoggins
Devin Reich
WILLIAM CARR WHITE
JACQUELINE ANNETTE WEBSTER
SCOTT MICHAEL KLEIN
JEFFREY STUART MALAVSKY
WILLIAM HERBERT WHITE

Other Offices

STIFEL, NICOLAUS & COMPANY, INCORPORATED · FORT MYERS, FL
BANKERS LIFE ADVISORY SERVICES, INC. · Fort Myers, FL
UBS FINANCIAL SERVICES INC. · FORT MYERS, FL
LPL FINANCIAL LLC · FORT MYERS, FL
SANCTUARY ADVISORS, LLC · FORT MYERS, FL
SANCTUARY ADVISORS, LLC · FORT MYERS, FL
TRUIST ADVISORY SERVICES, INC. · FORT MYERS, FL
TRUIST ADVISORY SERVICES, INC. · FORT MYERS, FL

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