Simon B. Chapman
Professional summary
Simon B P Chapman, CFA, CPWA® is a registered financial advisor currently at CITY NATIONAL ROCHDALE located in La Mesa, California and CNR SECURITIES, LLC located in La Jolla, California.
Simon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Simon has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Simon B P Chapman's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2022-05-05
Expire date: 2024-04-30
Experience
June 29, 2013 - Present
CITY NATIONAL ROCHDALE
Office #2: 4275 Executive Square Suite 335, La Jolla, CA 92037December 17, 2012 - Present
CNR SECURITIES, LLC
Office #1: 4275 Executive Square 7th Floor, La Jolla, CA 92037Primary Firm SEC Registration
CITY NATIONAL ROCHDALE
CRD#: 117198 / SEC#: 801-27265
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/29/2013)
(7/1/2013)
(8/29/2020)
(7/25/2023)
(8/12/2022)
(2/13/2025)
(7/12/2018)
Exams
FINRA
Current Firm
CITY NATIONAL ROCHDALE
CRD#: 117198 / SEC#: 801-27265
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,300 |
| AUM (Assets Under Management) | $ 68,177,828,012 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/27/2023 |
Red Flags
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