David Chapman

DFS CAPITAL MANAGEMENT

SANTA ANA, CA 92705

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CRD#: 7781067

Professional summary

David Chapman, who also goes by David Keith Chapman, is a registered financial advisor currently at DFS CAPITAL MANAGEMENT located in Santa Ana, California.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. David has worked at 1 firm and has passed the Series 65 and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David Keith 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.

David Chapman, as an analyst on the site Upwork.com; Not investment related; work remotely; freelance work as an analyst; start date: july 2023; approximately 10-20 hours a month; no time is spent during trading hours; This work involves compiling or analyzing financial statements for small businesses.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David 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

August 16, 2023 - Present

DFS CAPITAL MANAGEMENT

Office #1: 1951 E Dyer Rd Unit 338, Santa Ana, CA 92705

RIA

CRD#: 327508

SANTA ANA, CA

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
(8/16/2023)

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: 6/1/2023

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 4/20/2023

Securities Industry Essentials Examination

Current Firm

DFS CAPITAL MANAGEMENT

DFS CAPITAL MANAGEMENT | DFS CAPITAL MANAGEMENT LLC

CRD#: 327508 / SEC#:

California

Registered Investment Advisory firm - (8/16/2023 Approved)

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Contact information

Main Address

Brea, CA

Mailing Address

Phone number

(714) 504-3513

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	11
AUM (Assets Under Management)	$ 750,000

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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David Chapman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

DFS CAPITAL MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 6/1/2023

SIE

Date: 4/20/2023

Current Firm

DFS CAPITAL MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

DFS CAPITAL MANAGEMENT

TRUST BUT VERIFY

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