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Joseph Paul Chappius

Under Par Planning LLC

Buffalo, NY

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Current Employers
Under Par Planning Llc

Buffalo, NY • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-11-10
  • NY RA
    APPROVED
    Since 2021-11-10

Branch Locations

Buffalo, NY • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Northwestern Mutual Life Insurance Company Milwaukee WI 06/2011 01/2020
Northwestern Mutual Investment Services, Llc Williamsville NY 01/2013 01/2020
Norhtwestern Mutual Wealth Management Company Milwaukee WI 02/2017 01/2020
Under Par Planning Llc Buffalo NY 01/2020 Present
  • 06/2011 → 01/2020
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 01/2013 → 01/2020
    Northwestern Mutual Investment Services, Llc
    Williamsville, NY
  • 02/2017 → 01/2020
    Norhtwestern Mutual Wealth Management Company
    Milwaukee, WI
  • 01/2020 → Present
    Under Par Planning Llc
    Buffalo, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-05-31
S63 Uniform Securities Agent State Law Examination 2013-04-24
  • S65 Uniform Investment Adviser Law Examination
    2019-05-31
  • S63 Uniform Securities Agent State Law Examination
    2013-04-24

View on SEC IAPD

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