David Chapman

Current Employers

Dfs Capital Management

Brea, CA • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2023-08-16

CA RA
APPROVED

Since 2023-08-16

Branch Locations

Brea, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Dfs Capital Management Llc	Brea	CA	05/2023	Present
Apx Operating Company	Irvine	CA	03/2022	06/2023
Self Employed	Santa Ana	CA	09/2021	03/2022
Automobile Club Of Southern California	Costa Mesa	CA	06/2013	09/2021

05/2023 → Present

Dfs Capital Management Llc

Brea, CA
03/2022 → 06/2023

Apx Operating Company

Irvine, CA
09/2021 → 03/2022

Self Employed

Santa Ana, CA
06/2013 → 09/2021

Automobile Club Of Southern California

Costa Mesa, CA

Other Businesses

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. Serves as a FINRA Arbitrator on a part-time, as-needed basis; participates in securities arbitration panels; receives standard arbitrator honoraria; time commitment is minimal and does not interfere with advisory activities.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2023-06-01

S65 Uniform Investment Adviser Law Examination

2023-06-01

Other Names

David Keith Chapman

View on SEC IAPD