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JT

John Thomas Chatmas

Investment Adviser Representative at WATERLOO CAPITAL

PURCHASE, NYCRD #2208046Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
34 yrs
States Registered
1 states
Exams Passed
5

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
Texas
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 10/3/1994
Series 63
Uniform Securities Agent State Law Examination
Passed 2/14/1992
Series 31
Futures Managed Funds Examination
Passed 4/7/2005
Series 7
General Securities Representative Examination
Passed 5/28/1993
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 2/14/1992

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

WATERLOO CAPITAL Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

MORGAN STANLEY DW INC.
4/30/1999 – 4/10/2001PURCHASE, NY
MORGAN KEEGAN & COMPANY, INC.
3/30/2001 – 12/5/2007AUSTIN, TX
EQUICO SECURITIES, INC.
2/18/1992 – 9/24/1992NEW YORK, NY
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
2/18/1992 – 9/24/1992NEW YORK, NY
NFP SECURITIES, INC.
11/29/2007 – 1/3/2011AUSTIN, TX
SALOMON SMITH BARNEY INC.
10/26/1992 – 4/28/1999NEW YORK, NY

Official records & sources

FINRA BrokerCheck record
Official broker registration & regulatory record
SEC IAPD record
SEC investment adviser registration record

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. John Thomas Chatmas has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.