Jeffrey N. Chapman

FIRST CITIZENS ASSET MANAGEMENT,

Charlotte, NC 28202

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CRD#: 3233206

Professional summary

Jeffrey Neil Chapman is a registered financial advisor currently at FIRST CITIZENS ASSET MANAGEMENT, INC located in Charlotte, North Carolina.

Jeffrey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Jeffrey has worked at 11 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

First Citizens Asset Management; 4300 Six Forks Rd., Raleigh, NC 27609; 2 hours/ month; Investment Related; Duties are to create portfolios for clients; no compensation received from FCAM; organization is not a client of First Citizens.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Neil Chapman's CRS (Customer Relationship Summary).

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

October 25, 2022 - Present

FIRST CITIZENS ASSET MANAGEMENT, INC

Office #1: 128 S. Tryon St., Charlotte, NC 28202

RIA

CRD#: 140777

Charlotte, NC

Past

October 25, 2022 - October 19, 2023

FIRST CITIZENS INVESTOR SERVICES, INC.

RIA

CRD#: 44430

CHARLOTTE, NC

Past

May 10, 2021 - September 9, 2022

RESILIENCE WEALTH ADVISORS

RIA

CRD#: 314166

CHARLOTTE, NC

Past

January 4, 2021 - May 4, 2021

ONEDIGITAL

RIA

CRD#: 106766

Charlotte, NC

Past

August 1, 2012 - December 31, 2020

BB&T INSTITUTIONAL INVESTMENT ADVISERS, INC.

RIA

CRD#: 106156

GREENVILLE, SC

Past

February 8, 2012 - May 31, 2012

STERLING CAPITAL MANAGEMENT LLC

RIA

CRD#: 135405

CHARLOTTE, NC

Past

June 22, 2007 - October 27, 2010

BB&T ASSET MANAGEMENT, INC.

RIA

CRD#: 108443

CHARLOTTE, NC

Past

June 29, 2006 - May 10, 2007

UVEST FINANCIAL SERVICES GROUP, INC.

RIA

CRD#: 13787

ASHEBORO, NC

Past

June 29, 2006 - May 10, 2007

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

ASHEBORO, NC

Past

April 7, 2004 - June 6, 2006

BB&T INVESTMENT SERVICES, INC.

RIA

CRD#: 33856

CHARLOTTE, NC

Past

April 7, 2004 - June 6, 2006

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

CHARLOTTE, NC

Past

April 1, 2004 - April 20, 2004

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

CHARLOTTE, NC

Past

December 31, 2000 - April 1, 2004

C.P. ADVISORY SERVICES

RIA

CRD#: 118052

GREENSBORO, NC

Past

June 10, 1999 - April 20, 2004

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FIRST CITIZENS ASSET MANAGEMENT, INC

FIRST CITIZENS ASSET MANAGEMENT, INC | FIRST CITIZENS CAPITAL MANAGEMENT, INC.

CRD#: 140777 / SEC#: 801-79917

RIA

Registered Investment Advisory firm - (6/19/2014 Approved)

Arkansas

Registered Investment Advisory firm - (12/22/2014 Terminated)

Georgia

Registered Investment Advisory firm - (3/21/2017 Terminated)

North Carolina

Registered Investment Advisory firm - (3/22/2017 Terminated)

Rhode Island

Registered Investment Advisory firm - (3/24/2017 Terminated)

South Carolina

Registered Investment Advisory firm - (7/15/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

North Carolina
(10/25/2022)

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: 7/10/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/24/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/25/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/24/1999

Investment Company Products/Variable Contracts Representative Examination

Current Firm

FIRST CITIZENS ASSET MANAGEMENT, INC

FIRST CITIZENS ASSET MANAGEMENT, INC | FIRST CITIZENS CAPITAL MANAGEMENT, INC.

CRD#: 140777 / SEC#: 801-79917

RIA

Registered Investment Advisory firm - (6/19/2014 Approved)

Arkansas

Registered Investment Advisory firm - (12/22/2014 Terminated)

Georgia

Registered Investment Advisory firm - (3/21/2017 Terminated)

North Carolina

Registered Investment Advisory firm - (3/22/2017 Terminated)

Rhode Island

Registered Investment Advisory firm - (3/24/2017 Terminated)

South Carolina

Registered Investment Advisory firm - (7/15/2014 Terminated)

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Contact information

Main Address

8540 Colonnade Center Drive, Raleigh, NC 27615

Mailing Address

Po Box 27131, Raleigh, NC 27611

Phone number

(800) 229-0205

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FCAM FIRM BROCHURE (3/31/2025)

FCAM WRAP BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	409
AUM (Assets Under Management)	$ 167,013,742

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/13/2025	Cover Page	Report

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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Jeffrey N. Chapman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Neil Chapman's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST CITIZENS INVESTOR SERVICES, INC.

RESILIENCE WEALTH ADVISORS

ONEDIGITAL

BB&T INSTITUTIONAL INVESTMENT ADVISERS, INC.

STERLING CAPITAL MANAGEMENT LLC

BB&T ASSET MANAGEMENT, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

BB&T INVESTMENT SERVICES, INC.

BB&T INVESTMENT SERVICES, INC.

PARK AVENUE SECURITIES LLC

C.P. ADVISORY SERVICES

PARK AVENUE SECURITIES LLC

Primary Firm SEC Registration

FIRST CITIZENS ASSET MANAGEMENT, INC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/10/1999

Series 63

Date: 5/24/1999

Series 7

Date: 8/25/2000

Series 6

Date: 5/24/1999

Current Firm

FIRST CITIZENS ASSET MANAGEMENT, INC

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FIRST CITIZENS ASSET MANAGEMENT, INC

TRUST BUT VERIFY

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