Chris J. Maudlin

ALPHACORE CAPITAL LLC

LA JOLLA, CA 92037

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CRD#: 4863655

Professional summary

Chris James Maudlin is a registered financial advisor currently at ALPHACORE CAPITAL LLC located in La Jolla, California.

Chris is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Chris has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7, Series 6 and Series 24 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Chris James Maudlin'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

September 28, 2020 - Present

ALPHACORE CAPITAL LLC

Office #1: 1200 Prospect St Suite 200, La Jolla, CA 92037

RIA

CRD#: 174346

LA JOLLA, CA

Past

March 5, 2018 - September 4, 2020

ALTEGRIS ADVISORS, LLC

RIA

CRD#: 154003

LA JOLLA, CA

Past

July 10, 2009 - September 4, 2020

ALPHAMAX DISTRIBUTORS, L.L.C.

CRD#: 8258

LA JOLLA, CA

Past

September 15, 2006 - November 12, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

LA JOLLA, CA

Past

September 15, 2006 - November 12, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

LA JOLLA, CA

Past

September 14, 2005 - September 18, 2006

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

LAJOLLA, CA

Past

September 2, 2005 - September 18, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

LAJOLLA, CA

Past

October 13, 2004 - July 7, 2005

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, 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".

ALPHACORE CAPITAL LLC

ALPHACORE CAPITAL LLC | ALPHACORE WEALTH ADVISORY | ALPHACORE WEALTH ADVISORS

CRD#: 174346 / SEC#: 801-108468

RIA

Registered Investment Advisory firm - (9/28/2016 Approved)

California

Registered Investment Advisory firm - (11/9/2016 Terminated)

Illinois

Registered Investment Advisory firm - (9/28/2016 Terminated)

Indiana

Registered Investment Advisory firm - (10/13/2016 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

California
(9/28/2020)

IAR

Colorado
(9/28/2020)

IAR

Connecticut
(9/28/2020)

IAR

Illinois
(9/28/2020)

IAR

New York
(8/31/2021)

IAR

Texas
(9/28/2020)

IAR

Wisconsin
(9/11/2024)

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 66

Date: 3/5/2018

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/19/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 9/21/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 9/1/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/12/2004

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/2/2017

General Securities Principal Examination

Current Firm

ALPHACORE CAPITAL LLC

ALPHACORE CAPITAL LLC | ALPHACORE WEALTH ADVISORY | ALPHACORE WEALTH ADVISORS

CRD#: 174346 / SEC#: 801-108468

RIA

Registered Investment Advisory firm - (9/28/2016 Approved)

California

Registered Investment Advisory firm - (11/9/2016 Terminated)

Illinois

Registered Investment Advisory firm - (9/28/2016 Terminated)

Indiana

Registered Investment Advisory firm - (10/13/2016 Terminated)

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Contact information

Main Address

1200 Prospect St Suite 200, La Jolla, CA 92037

Mailing Address

Phone number

(858) 875-4100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (46 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ALPHACORE FORM ADV PART 2-OCT. 2025 (10/13/2025)

Regulatory assets under management

Total Number of Accounts	6,249
AUM (Assets Under Management)	$ 6,060,926,747

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/28/2025	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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Advisor Monitoring

Firm Stability Insights

Chris J. Maudlin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Chris James Maudlin's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALTEGRIS ADVISORS, LLC

ALPHAMAX DISTRIBUTORS, L.L.C.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

CITICORP INVESTMENT SERVICES

Primary Firm SEC Registration

ALPHACORE CAPITAL LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/5/2018

Series 63

Date: 10/19/2004

SIE

Date: 10/1/2018

Series 31

Date: 9/21/2005

Series 7

Date: 9/1/2005

Series 6

Date: 10/12/2004

Series 24

Date: 10/2/2017

Current Firm

ALPHACORE CAPITAL LLC

Contact information

SEC notice filing (46 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ALPHACORE CAPITAL LLC

TRUST BUT VERIFY

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