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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

Carlos Manuel Chapa

Advisor at RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Laredo, TX | Del Rio, TX | San Antonio, TX

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Search this name across graphsid dfx:ria:023bee0f-9cff-8ce3-4ba5-3b6e0e5fa87e

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Mar 10, 2010 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 5, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: May 5, 2008
First registration: Mar 10, 2010
Dual registered: yes, broker-dealer
Other names: CARLOS M CHAPA
IAPD individual key: 5519000

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Oct 6, 2025	n/a	yes	Laredo, TX\|Del Rio, TX\|San Antonio, TX\|San Antonio, TX	Current employment
OSAIC INSTITUTIONS, INC.	Bd affiliated wealth	Apr 23, 2021	Oct 7, 2025	no	San Antonio, TX\|Somerset, TX\|Laredo, TX\|MERIDEN, CT\|Laredo, TX	Previous registration
CRESTA ADVISORS	Mixed wealth	Mar 7, 2020	Apr 14, 2021	no	LAREDO, TX	Previous registration
PRIMERICA ADVISORS	National bd RIA	Dec 9, 2019	Feb 26, 2020	no	LAREDO, TX	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Sep 16, 2015	Aug 21, 2017	no	GEORGETOWN, TX\|AUSTIN, TX\|GEORGETOWN, TX	Previous registration
PNC MANAGED ACCOUNT SOLUTIONS, INC.	Former SEC adviser	Aug 18, 2014	Aug 3, 2015	no	AUSTIN, TX	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Aug 22, 2012	Jul 7, 2014	no	NEW BRAUNFELS, TX	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Jul 27, 2010	Aug 23, 2012	no	LAREDO, TX\|LAREDO, TX\|LAREDO, TX\|LAREDO, TX\|SAN ANTONIO, TX\|SAN ANTONIO, TX	Previous registration
EDWARD JONES	National bd RIA	Mar 10, 2010	Jun 15, 2010	no	LAREDO, TX\|ST LOUIS, MO	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
OSAIC INSTITUTIONS, INC.	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Oct 7, 2025	Oct 6, 2025	-1	Firm change	Ibd to ibd
CRESTA ADVISORS	OSAIC INSTITUTIONS, INC.	Apr 14, 2021	Apr 23, 2021	9	Firm change	RIA to ibd
PRIMERICA ADVISORS	CRESTA ADVISORS	Feb 26, 2020	Mar 7, 2020	10	Firm change	Ibd to RIA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	PRIMERICA ADVISORS	Aug 21, 2017	Dec 9, 2019	840	Firm change after gap	Wirehouse to ibd
PNC MANAGED ACCOUNT SOLUTIONS, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Aug 3, 2015	Sep 16, 2015	44	Firm change	Other
LPL FINANCIAL LLC	PNC MANAGED ACCOUNT SOLUTIONS, INC.	Jul 7, 2014	Aug 18, 2014	42	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	LPL FINANCIAL LLC	Aug 23, 2012	Aug 22, 2012	-1	Firm change	Other
EDWARD JONES	CHASE INVESTMENT SERVICES CORP.	Jun 15, 2010	Jul 27, 2010	42	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
35371:149018:TX:2025-10-07	Oct 7, 2025	Oct 6, 2025	LAREDO, TX	Firm change

Relationships

Registered with (9)

→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: current employment
Oct 6, 2025 to presentfactForm ADV
→ OSAIC INSTITUTIONS, INC.Registered adviserregistration: previous registration
Apr 23, 2021 to Oct 7, 2025factForm ADV
→ CRESTA ADVISORSRegistered adviserregistration: previous registration
Mar 7, 2020 to Apr 14, 2021factForm ADV
→ PRIMERICA ADVISORSRegistered adviserregistration: previous registration
Dec 9, 2019 to Feb 26, 2020factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Sep 16, 2015 to Aug 21, 2017factForm ADV
→ PNC MANAGED ACCOUNT SOLUTIONS, INC.Registered adviserregistration: previous registration
Aug 18, 2014 to Aug 3, 2015factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Aug 22, 2012 to Jul 7, 2014factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Jul 27, 2010 to Aug 23, 2012factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Mar 10, 2010 to Jun 15, 2010factForm ADV

Dated events

Occurred
Oct 7, 2025
Advisor changed firm
Carlos Manuel Chapa left Osaic Institutions, Inc. for Raymond James Financial Services Advisors, Inc (registered 2025-10-06)
Form ADVobserved 5 days ago