Jeffrey Dale Chapman

Current Employers

Employment History

• 08/2008 → Present
  Penfield Financial Group Llc
  Penfield, NY
• 11/2005 → 10/2016
  Admiral Property Management
  Penfield, NY
• 03/2013 → 10/2016
  Investors Capital Corporation
  Lynnfield, MA
• 10/2016 → Present
  Cetera Advisors Llc
  Denver, CO
• 03/2024 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2013-10-16 → 2016-10-03
  Investors Capital Corp.
  Lynnfield, MA
  Penfield, NY
  Lynnfield, MA

Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 08/2008; APX NUMBER OF HOURS PER WEEK: 4 HOURS; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE. 2. NAME OF OTHER BUSINESS: PENFIELD REAL ESTATE HOLDING LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: HOLDING COMPANY; START DATE: 08/2008; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 0 HOURS; APX NUMBER OF HOURS DURING TRADING HOURS: N/A; BRIEF DESCRIPTION OF DUTIES: HOLDING COMPANY FOR OFFICE PROPERTY. 3. NAME OF OTHER BUSINESS: DBA PENFIELD FINANCIAL GROUP; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: OPERATING COMPANY/ FIXED INSURANCE START DATE: 08/2008; POSITION/TITLE/RELATIONSHIP: VICE PRESIDENT; APX NUMBER OF HOURS PER WEEK: 20 HOURS; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: DBA FOR INSURANCE SALE AND HANDLING OPERATING EXPENSES. 4. NAME OF OTHER BUSINESS: SHEPHERD HOME; INVESTMENT RELATED: NO; ADDRESS: 1959 FIVE MILE LINE RD, PENFIELD, NY 14526; NATURE OF BUSINESS: HOSPICE HOME; START DATE: 05/2011; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1 HOUR; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: BOARD MEMBER FOR HOSPICE HOME; 5. NAME OF OTHER BUSINESS: ROCKY POINT PROPERTIES, INVESTMENT RELATED: NO, ADDRESS: 21 ROCKY POINT LANE, INLET, NY 13360, NATURE OF BUSINESS: REAL ESTATE, START DATE: 05/2024, POSITION/TITLE/RELATIONSHIP: AGENT, APX NUMBER OF HOURS PER WEEK: 3 APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, BRIEF DESCRIPTION OF DUTIES: HELP INDIVIDUALS BUY/SELL RESIDENTIAL PROPERTIES;

Exams

• S65 Uniform Investment Adviser Law Examination
  2000-09-19
• S63 Uniform Securities Agent State Law Examination
  1994-06-17