Brian Ernest Chapman

Current Employers

Employment History

• 01/2014 → 03/2023
  Lincoln Financial Securities
  Charlotte, NC
• 03/2023 → Present
  Cambridge Investment Research, Inc.
  Fairfield, IA
• 03/2023 → Present
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA

Previous Registrations

• 2014-01-07 → 2023-03-01
  Osaic Fs, Inc.
  Charlotte, NC
• 2013-10-04 → 2014-01-09
  Cetera Wealth Services, Llc
  El Segundo, CA
  Charlotte, NC
  Charlotte, NC
• 2012-06-14 → 2013-09-27
  Capital Guardian Wealth Management, Llc
  Miami, FL
• 2005-04-01 → 2012-06-22
  Woodbury Financial Services, Inc.
  Charlotte, NC
  Charlotte, NC
• 2001-12-31 → 2005-03-03
  Mony Securities Corporation
  Charlotte, NC

Other Businesses

1. WEALTH PLAN FINANCIAL GROUP, LLC, 3540 Toringdon Way Suite 200, Charlotte NC 28277, United States, 03/01/2016, Owner, Owner/Partner of a Business Entity, INV REL, 120 HR/MO - 80 HR/MO TRADING 2. WEALTHGUARD INSURANCE SERVICES, LLC, 3540 Toringdon Way Suite 200, Charlotte NC 28277, United States, 07/01/2021, Owner, Insurance/Benefits/Human Resources, NIR, 10 HR/MO - 8 HR/MO TRADING 3. CIRA / 1776 Pleasant Plain Rd, Fairfield IA 52556 / 3/2023 / IAR AFFILIATION / INV REL / 160 HR/MO - 120 HR TRADING

Exams

• S65 Uniform Investment Adviser Law Examination
  1996-06-11
• S63 Uniform Securities Agent State Law Examination
  1990-07-11