Cory J. Chapman

EFC WEALTH MANAGEMENT FIRM

Los Angeles, CA 90045

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CRD#: 2835015

Professional summary

Cory James Chapman, who also goes by Mickens Chapman, is a registered financial advisor currently at EFC WEALTH MANAGEMENT FIRM, LLC located in Los Angeles, California.

Cory is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Cory has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mickens Chapman

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

(1) EFC WEALTH GROUP; INV RELATED: YES, SOME INSURANCE PRODUCTS CAN BE CONSIDERED INVESTMENTS; ADDRESS: 5777 W CENTURY BLVD., SUITE 985 LOS ANGELES, CA 90045; NATURE: INSURANCE PRODUCTS; POSITION:CEO TITLE/PARTNERSHIP WITH WIFE/INDEPENDENT INSURANCE AGENT; START DATE: 01/01/2003; HOURS/MONTH: 160; TRADING HOURS/MONTH: 160; DUTIES: INSURANCE SALES (2) EFC WEALTH MANAGEMENT DBA EFC WEALTH GROUP; INV RELATED:YES; ADDRESS:5777 W CENTURY BLVD., SUITE 985 LOS ANGELES, CA 90045; NATURE: FIXED INSURANCE BUSINESS; POSITION: INSURANCE AGENT/INDEPENDENT CONTRACTOR; START DATE: 01/01/2003; HOURS/MONTH: 160; TRADING HOURS/MONTH:160; DUTIES: INSURANCE SALES IN CONJUNCTION WITH ADVISORY BUSINESS. (3) CORY CHAPMAN/SUCCESS 4 UR LIFE; INV RELATED:NO; ADDRESS:5678 W 63RD STREET LOS ANGELES, CA 90056; NATURE:PROVIDE COACHING AND PERSONAL DEVELOPMENT TO CLIENTS THROUGH SEMINARS, AUDIOS, BOOKS AND SPEAKING EVENTS; POSITION:PERSONAL DEVELOPMENT COACH, HIGH PERFORMANCE COACHING, SEMINARS, AUDIOS, BOOKS; START DATE:08/11/2011; HOURS/MONTH: AS NEEDED (NO SET HOURS); TRADING HOURS/MONTH: AS NEEDED (NO SET HOURS); DUTIES: PROVIDE COACHING AND PERSONAL DEVELOPMENT TO CLIENTS THROUGH SEMINARS, AUDIOS, BOOKS AND SPEAKING EVENTS (4) A1 REALTY; INV RELATED: NO; ADDRESS:NA/VARIOUS; NATURE:REAL ESTATE PURCHASE & SALES; POSITION:REAL ESTATE AGENT; START DATE:07/12/2012; HOURS/MONTH:36; TRADING HOURS/MONTH:0; DUTIES: REAL ESTATE PURCHASE & SALES (5) ADVISORWORKS ONLINE SERVICES; INVESTMENT-RELATED: YES; ADDRESS: 5777 W Century Blvd., Suite 985, LOS ANGELES, CA 90045; NATURE: TECH COMPANY FOR AUTOMATED INDUSTRY SALES & MARKETING; POSITION: STRATEGIST AND CONSULTANT; START DATE: 07/15/2019; HOURS/MONTH: 40; TRADING HOURS/MONTH: 0; DUTIES: CAMPAIGN STRATEGIES AND MARKETING IMPLEMENTATION. (6) CORY J. CHAPMAN; MR. CHAPMAN PROVIDES A FREE FINANCIAL EDUCATIONAL PROGRAM TO THE PUBLIC CALLED THE LOS ANGELES ADULT FINANCIAL EDUCATION ("LAAFE") PROGRAM. IT IS NOT INVESTMENT-RELATED. MR. CHAPMAN RECEIVES NO COMPENSATION. HE BEGAN INSTRUCTING LAAFE COURSES IN MARCH 2023. HE DEVOTES APPROXIMATELY 3 HOURS PER MONTH OR 1 SATURDAY CLASS PER MONTH. COURSES TAKE PLACE AT PEPPERDINE UNIVERSITY IN LOS ANGELES, CA.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cory James Chapman's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 10, 2021 - Present

EFC WEALTH MANAGEMENT FIRM, LLC

Office #1: 5777 W Century Blvd Suite 985, Los Angeles, CA 90045

RIA

CRD#: 312671

Los Angeles, CA

Past

December 14, 2017 - October 6, 2021

MADISON AVENUE SECURITIES, LLC

RIA

CRD#: 23224

Los Angeles, CA

Past

December 14, 2017 - October 6, 2021

MADISON AVENUE SECURITIES, LLC

CRD#: 23224

Los Angeles, CA

Past

December 24, 2014 - December 18, 2017

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

LOS ANGELES, CA

Past

August 19, 2014 - December 14, 2017

THE RETIREMENT GROUP, LLC

RIA

CRD#: 148296

LOS ANGELES, CA

Past

August 12, 2014 - August 28, 2014

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

LOS ANGELES, CA

Past

August 11, 2014 - December 18, 2017

FSC SECURITIES CORPORATION

CRD#: 7461

LOS ANGELES, CA

Past

May 19, 2009 - August 18, 2014

CROWN CAPITAL SECURITIES, L.P.

RIA

CRD#: 6312

LOS ANGELES, CA

Past

May 19, 2009 - August 18, 2014

CROWN CAPITAL SECURITIES, L.P.

CRD#: 6312

LOS ANGELES, CA

Past

May 26, 2004 - May 27, 2009

LPL FINANCIAL LLC

RIA

CRD#: 6413

LOS ANGELES, CA

Past

May 26, 2004 - May 27, 2009

LPL FINANCIAL LLC

CRD#: 6413

LOS ANGELES, CA

Past

December 17, 2003 - June 4, 2004

FIRST ALLIED SECURITIES, INC.

RIA

CRD#: 32444

LOS ANGELES, CA

Past

October 1, 2003 - June 4, 2004

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

Past

July 30, 2002 - September 30, 2003

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, CA

Past

April 10, 2002 - August 9, 2002

STONEX SECURITIES INC.

CRD#: 18456

BIRMINGHAM, AL

Past

February 8, 2002 - May 14, 2002

ASHTON STEWART & CO., INC.

CRD#: 112386

MIAMI, FL

Past

January 29, 2001 - August 15, 2002

SYNERGY INVESTMENT GROUP, LLC

CRD#: 46035

CHARLOTTE, NC

Past

February 16, 1999 - October 6, 2000

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

December 24, 1997 - February 19, 1999

THE ADVISORS GROUP, INC.

CRD#: 14035

BETHESDA, MD

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(5/10/2021)

IAR

Nevada
(6/28/2022)

IAR

Texas
(5/17/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/10/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/22/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/15/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/21/1997

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/21/2004

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 7/30/1999

Investment Company Products/Variable Contracts Principal Examination

Current Firm

EFC WEALTH MANAGEMENT FIRM, LLC

EFC WEALTH GROUP, INC. | EFC WEALTH MANAGEMENT FIRM, LLC

CRD#: 312671 / SEC#:

California

Registered Investment Advisory firm - (5/7/2021 Approved)

Nevada

Registered Investment Advisory firm - (6/28/2022 Approved)

Texas

Registered Investment Advisory firm - (5/10/2021 Approved)

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Contact information

Main Address

5777 W Century Blvd Suite 985, Los Angeles, CA 90045

Mailing Address

Phone number

(310) 645-0001

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	271
AUM (Assets Under Management)	$ 43,023,565

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Cory J. Chapman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cory James Chapman's CRS (Customer Relationship Summary).

Certified licenses

Experience

MADISON AVENUE SECURITIES, LLC

MADISON AVENUE SECURITIES, LLC

FSC SECURITIES CORPORATION

THE RETIREMENT GROUP, LLC

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

CROWN CAPITAL SECURITIES, L.P.

CROWN CAPITAL SECURITIES, L.P.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

WAMU INVESTMENTS, INC.

STONEX SECURITIES INC.

ASHTON STEWART & CO., INC.

SYNERGY INVESTMENT GROUP, LLC

LPL FINANCIAL LLC

THE ADVISORS GROUP, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/10/2001

Series 63

Date: 1/22/1998

SIE

Date: 10/1/2018

Series 7

Date: 1/15/2002

Series 6

Date: 12/21/1997

Series 24

Date: 8/21/2004

Series 26

Date: 7/30/1999

Current Firm

EFC WEALTH MANAGEMENT FIRM, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

EFC WEALTH MANAGEMENT FIRM, LLC

TRUST BUT VERIFY

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