CP
Christopher B. Pelley
APOLLON WEALTH MANAGEMENT
GREENWOOD VILLAGE, CO 80111
Some features on this profile are disabled
CRD#: 1008077
CP
Professional summary
Christopher Brian Pelley, who also goes by Chris B Pelley, is a registered financial advisor currently at APOLLON WEALTH MANAGEMENT, LLC located in Greenwood Village, Colorado and PURSHE KAPLAN STERLING INVESTMENTS located in Greenwood Village, Colorado.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Christopher has worked at 21 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chris B Pelley
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.
1) Apollon Wealth Management. Investment related. Located at 6312 S. Fiddlers Green Circle, Suite 300E, Greenwood Village, CO 80111. Nature - RIA. Position - Financial Advisor. Start - 12/2021. 200 hours per month, 100 hours during trading hours. Duties - find new clients and take good care of the existing clients. 2) Apollon Agency. Not Investment Related. Located at 6312 S. Fiddlers Green Circle, Suite 300E, Greenwood Village, CO 80111. Nature - Fixed Insurance Products. Position - Agent. Start - 12/2021. 20 hours per month, all during trading hours. Duties - providing total comprehensive financial planning aligned with prudent estate and tax planning. 3) SafeHaven Asset Protection. Not Investment related. Located at 6312 S. Fiddlers Green Circle, Suite 300E, Greenwood Village, CO 80111. Nature - Insurance: Life, LTC, Fixed Annuities. Position - Managing Director. Start - 05/2016. 40 hours per month, not during trading hours. Duties - finding any need for Insurance Products, crafting proposals, setting up new accounts/contracts, serving clients. 4) PKS Financial. Investment Related. Located at 80 State Street, Albany NY 12207. Nature - Fixed/Traditional Insurance. Position - Agent. Start 01/2022. 10 hours per month, all during trading hours. Duties - Sales of Fixed/Traditional insurance products. 5) Fixed Insurance. Investment Related. Located at 6312 S. Fiddlers Green Circle, Suite 300E, Greenwood Village, CO 80111. Nature - Fixed/ Traditional Insurance. Position - Agent. Start - 01/2022. 20 hours per month, 20 hours during trading hours. Duties - Sales of Fixed / Traditional Insurance products. 6) Pelley Group, Inc.; Entity for Business Operations; Holding Company for managing revenue and expenses for securities business activity. | No securities business is conducted through this entity, this services solely as a holding company.
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Brian Pelley'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®
NoneExperience
Current
December 13, 2021 - Present
APOLLON WEALTH MANAGEMENT, LLC
Office #1: 6312 South Fiddler's Green Circle Suite 300e, Greenwood Village, CO 80111RIA
CRD#: 291902
GREENWOOD VILLAGE, CO
Current
January 3, 2022 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 6312 S. Fiddlers Green Circle Ste. 300e, Greenwood Village, CO 80111Office #2: 80 State Street, Albany, NY 12207BD
CRD#: 35747
Greenwood Village, CO
Past
May 20, 2016 - December 31, 2016
MOLONEY INVESTMENT ADVISORY LLC
RIA
CRD#: 282140
Denver, CO
Past
May 20, 2016 - December 14, 2021
MOLONEY SECURITIES ASSET MANAGEMENT LLC
RIA
CRD#: 282448
Greenwood Village, CO
Past
May 20, 2016 - December 14, 2021
MOLONEY SECURITIES CO., INC.
BD
CRD#: 38535
Greenwood Village, CO
Past
October 27, 2014 - June 2, 2016
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
GREENWOOD VILLAGE, CO
Past
October 27, 2014 - June 2, 2016
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
GREENWOOD VILLAGE, CO
Past
July 2, 2012 - November 7, 2014
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
DENVER, CO
Past
May 10, 2010 - July 2, 2012
FIRST ALLIED SECURITIES, INC.
RIA
CRD#: 32444
DENVER, CO
Past
May 10, 2010 - November 7, 2014
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
DENVER, CO
Past
September 11, 2002 - May 24, 2010
SECURITIES SERVICE NETWORK, LLC
BD
CRD#: 13318
DENVER, CO
Past
January 1, 1999 - June 10, 2015
CAPITAL INVESTMENT MANAGEMENT
RIA
CRD#: 109924
DENVER, CO
Past
February 13, 1995 - September 6, 2002
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
Past
March 31, 1993 - February 17, 1995
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
January 12, 1993 - April 2, 1993
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Past
August 3, 1992 - January 22, 1993
CETERA ADVISORS LLC
BD
CRD#: 10299
GREENWOOD VILLAGE, CO
Past
March 18, 1991 - July 27, 1992
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
SAINT PAUL, MN
Past
September 18, 1989 - April 1, 1991
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
October 28, 1987 - August 8, 1989
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ATLANTA, GA
Past
December 5, 1985 - October 27, 1987
CONSOLIDATED INVESTMENT SERVICES, INC.
BD
CRD#: 7929
Past
December 6, 1983 - December 23, 1985
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
February 15, 1983 - December 20, 1983
FINANCIAL PLANNERS EQUITY CORPORATION
BD
CRD#: 7420
Past
November 26, 1981 - September 17, 1982
JOHN HANCOCK DISTRIBUTORS LLC
BD
CRD#: 5249
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".
AW
APOLLON WEALTH MANAGEMENT, LLC
ADI DASSLER INTERNATIONAL FAMILY OFFICE | WESTSIDE WEALTH MANAGEMENT OF APOLLON | WEALTH EMPOWERMENT FINANCIAL GROUP | TREE CITY ADVISORS OF APOLLON | TELOS WEALTH ADVISORS | SUNSHINE WEALTH ADVISORS, LLC | PROPER WEALTH MANAGEMENT | PRISM ADVISORY GROUP | PODESTA CAPITAL APOLLON | PIERSHALE FINANCIAL GROUP OF APOLLON | PELLEY GROUP OF APOLLON | LIVETRAC | JE WILSON OF APOLLON | JASON YOUNG AND ASSOCIATES | CJL | CJ LAWRENCE, A DIVISION OF APOLLON WEALTH MANAGEMENT | CIC WEALTH | CATALYST APOLLON | CASCADE APOLLON | BLUECHIP WEALTH MANAGEMENT | APOLLON WEALTH MANAGEMENT, LLC | APOLLON NEW ENGLAND | APOLLON BRIDGEMARK
CRD#: 291902 / SEC#: 801-112350
RIA
Registered Investment Advisory firm - (1/22/2018 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/10/2022)
RR
California(8/8/2025)
IAR
Colorado(12/13/2021)
RR
Colorado(1/4/2022)
RR
Florida(1/4/2022)
RR
Illinois(8/15/2025)
RR
Iowa(1/5/2022)
RR
Kansas(1/3/2022)
RR
Minnesota(1/10/2022)
RR
Missouri(1/3/2022)
RR
Nebraska(1/4/2022)
RR
Nevada(1/18/2022)
RR
New Mexico(1/5/2022)
RR
North Carolina(1/4/2022)
RR
Oklahoma(1/11/2022)
RR
Pennsylvania(1/4/2022)
RR
South Carolina(1/6/2022)
RR
South Dakota(1/12/2022)
RR
Tennessee(8/8/2025)
RR
Texas(1/4/2022)
RR
Utah(1/3/2022)
RR
Virginia(1/5/2022)
RR
Washington(1/10/2022)
RR
Wisconsin(1/3/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AW
APOLLON WEALTH MANAGEMENT, LLC
ADI DASSLER INTERNATIONAL FAMILY OFFICE | WESTSIDE WEALTH MANAGEMENT OF APOLLON | WEALTH EMPOWERMENT FINANCIAL GROUP | TREE CITY ADVISORS OF APOLLON | TELOS WEALTH ADVISORS | SUNSHINE WEALTH ADVISORS, LLC | PROPER WEALTH MANAGEMENT | PRISM ADVISORY GROUP | PODESTA CAPITAL APOLLON | PIERSHALE FINANCIAL GROUP OF APOLLON | PELLEY GROUP OF APOLLON | LIVETRAC | JE WILSON OF APOLLON | JASON YOUNG AND ASSOCIATES | CJL | CJ LAWRENCE, A DIVISION OF APOLLON WEALTH MANAGEMENT | CIC WEALTH | CATALYST APOLLON | CASCADE APOLLON | BLUECHIP WEALTH MANAGEMENT | APOLLON WEALTH MANAGEMENT, LLC | APOLLON NEW ENGLAND | APOLLON BRIDGEMARK
CRD#: 291902 / SEC#: 801-112350
RIA
Registered Investment Advisory firm - (1/22/2018 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
111 Coleman Blvd Suite 402, Mount Pleasant, SC 29464
Mailing Address
Phone number
(843) 579-0018
Established
Firm type
Fiscal year end
# of Employees
179
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 20,798 |
| AUM (Assets Under Management) | $ 7,720,756,861 |
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.
