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CT

Charles H. Travis

CURI CAPITAL
Oakbrook Terrace, IL 60181
Some features on this profile are disabled
CRD#: 1025939
CT

Professional summary

Charles Hafner Travis, who also goes by Chip Travis, is a registered financial advisor currently at CURI CAPITAL, LLC located in Oakbrook Terrace, Illinois.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Charles has worked at 8 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Chip Travis

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 Charles Hafner Travis'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 13, 2007 - Present

CURI CAPITAL, LLC

Office #1: 17w110 22nd St. Suite 700, Oakbrook Terrace, IL 60181
RIA
CRD#: 134249
Oakbrook Terrace, IL
Past

November 1, 2004 - June 30, 2006

GLEACHER & COMPANY SECURITIES, INC.

RIA
CRD#: 298
OAKBROOK TERRACE, IL
Past

November 1, 2004 - June 30, 2006

GLEACHER & COMPANY SECURITIES, INC.

BD
CRD#: 298
NEW YORK, NY
Past

January 13, 2003 - April 4, 2007

FA ASSET MANAGEMENT INC.

RIA
CRD#: 110965
OAKBROOK TERRACE, IL
Past

August 1, 1999 - January 2, 2003

CONNING & COMPANY

BD
CRD#: 1512
OAKBROOK TERRACE, IL
Past

January 12, 1990 - September 10, 1999

NODDINGS AND ASSOCIATES, INC.

BD
CRD#: 7411
OAKBROOK TERRACE, IL
Past

January 13, 1986 - February 1, 1990

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

October 28, 1982 - January 30, 1986

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
Past

January 30, 1982 - November 4, 1982

E. F. HUTTON & COMPANY INC

BD
CRD#: 235

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".
CC
CURI CAPITAL, LLC
B CAPITAL MANAGEMENT, LLC | RMB JACOBUS | RMB CAPITAL MANAGEMENT, LLC | RMB CAPITAL MANAGEMENT | KDI | JB, A DIVISION OF RMB ASSET MANAGEMENT | IRONBRIDGE, A DIVISION OF RMB ASSET MANAGEMENT | CURI WEALTH MANAGEMENT | CURI RMB JACOBUS | CURI RMB CAPITAL, LLC | CURI RMB ASSET MANAGEMENT | CURI RETIREMENT SERVICES | CURI CAPITAL, LLC | CURI CAPITAL WEALTH BUILDER | CURI CAPITAL RETIREMENT PLAN SOLUTIONS

CRD#: 134249 / SEC#: 801-63939

RIA
Registered Investment Advisory firm - (2/15/2005 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.

Highlighted states indicate IAR registrations

IAR
Illinois
(9/13/2007)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/21/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/22/1982
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 3/22/1993
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 12/19/1981
General Securities Representative Examination

Current Firm

CC
CURI CAPITAL, LLC
B CAPITAL MANAGEMENT, LLC | RMB JACOBUS | RMB CAPITAL MANAGEMENT, LLC | RMB CAPITAL MANAGEMENT | KDI | JB, A DIVISION OF RMB ASSET MANAGEMENT | IRONBRIDGE, A DIVISION OF RMB ASSET MANAGEMENT | CURI WEALTH MANAGEMENT | CURI RMB JACOBUS | CURI RMB CAPITAL, LLC | CURI RMB ASSET MANAGEMENT | CURI RETIREMENT SERVICES | CURI CAPITAL, LLC | CURI CAPITAL WEALTH BUILDER | CURI CAPITAL RETIREMENT PLAN SOLUTIONS

CRD#: 134249 / SEC#: 801-63939

RIA
Registered Investment Advisory firm - (2/15/2005 Approved)
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Contact information

Main Address
One North Wacker Drive Suite 3500, Chicago, IL 60606
Mailing Address
Phone number
(312) 993-5800
Established
Firm type
Fiscal year end
# of Employees
168

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

JULY 1, 2025 FORM ADV PART 2A CURI RMB CAPITAL, LLC (7/3/2025)

Regulatory assets under management

Total Number of Accounts13,209
AUM (Assets Under Management)$ 9,830,680,915

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
05/01/2025
Cover Page
Report
11/27/2024
Cover Page
Report
10/27/2023
Cover Page
Report
09/26/2022
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.

Company Information

CURI CAPITAL, LLC

CRD#: 134249Oakbrook Terrace, IL 60181

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