Craig Ernst Chapman

Current Employers

Oppenheimer & Co. Inc.

85 Broad Street 22Nd Floor, New York, NY 10004 • United States

Current Registrations

Authority	Category	Status	Date
AZ	RA	APPROVED	2015-12-07
WA	RA	APPROVED	2009-04-24

AZ RA
APPROVED

Since 2015-12-07
WA RA
APPROVED

Since 2009-04-24

Branch Locations

Scottsdale Kierland 1,14624 North Scottsdale Road Suite 190, Scottsdale, AZ 85254 • 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 No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Oppenheimer & Co. Inc.	Bellevue	WA	04/2009	Present

04/2009 → Present

Oppenheimer & Co. Inc.

Bellevue, WA

Previous Registrations

1996-08-15 → 2009-05-05

Citigroup Global Markets Inc.

Bellevue, WA

Bellevue, WA

Other Businesses

THE CHAPMAN LIVING TRUST U/A DTD 10/1/2003. CRAIG E. CHAPMAN & KAREN B. CHAPMAN TRUSTEES. PERSONAL FAMILY TRUST. PERSONAL FAMILY TRUST. CRAIG AND KAREN CHAPMAN, 7148 W. VILLA HERMOSA DRIVE, GLENDALE, AZ 85310. TRUSTEE OF PERSONAL FAMILY TRUST. CO-TRUSTEE OF PERSONAL FAMILY TRUST. 10/1/2003, NONE, NONE, NONE: PERSONAL FAMILY TRUST WAS ESTABLISHED AS A BASIC ESTATE PLANNING TOOL.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-06-28
S63	Uniform Securities Agent State Law Examination	1996-06-07

S65 Uniform Investment Adviser Law Examination

1996-06-28
S63 Uniform Securities Agent State Law Examination

1996-06-07

Designations

View on SEC IAPD