Andrew Michael Chapman

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2011 → Present
  Lpl Financial Llc
  Queensbury, NY
• 07/2014 → Present
  Saratoga Financial Services
  Saratoga Springs, NY

Other Businesses

(1) 08/13/2014: No Business Name - DBA for LPL Business (entity for LPL business) - Saratoga Financial Services - INV REL - At Reported Business Location(s) (2) 06/23/2016: NYS Notary - Notary - NOT INV REL - Start 07/01/2014 - 18 Division St Ste 305 Saratoga Springs NY 12866 - Notarize Documents when necessary - 1 Hr/Mo; 1 Hours During Securities Trading - notary public

Exams

• S66 Uniform Combined State Law Examination
  2008-01-25

Other Names

• Andew Chapman
• Drew Chapman
• Andrew Chapman