Christopher A. Zook

CAZ INVESTMENTS L.P.

Houston, TX 77056

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CRD#: 2125318

Professional summary

Christopher Alan Zook SR, who also goes by Christopher Alan Zook, Christopher Zook, is a registered financial advisor currently at CAZ INVESTMENTS L.P. located in Houston, Texas and CAZ INVESTMENTS REGISTERED ADVISER LLC located in Houston, Texas.

Christopher is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Christopher has worked at 8 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Christopher Alan Zook | Christopher Zook

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 Christopher Alan Zook SR'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

August 16, 2001 - Present

CAZ INVESTMENTS L.P.

Office #1: One Riverway Suite 2000, Houston, TX 77056Office #2: One Riverway, Suite 2000, Houston, TX 77056

RIA

CRD#: 113931

Houston, TX

Current

November 16, 2023 - Present

CAZ INVESTMENTS REGISTERED ADVISER LLC

Office #1: One Riverway Suite 2000, Houston, TX 77056

RIA

CRD#: 327614

Houston, TX

Past

January 25, 2010 - October 24, 2011

INROADS CAPITAL MANAGEMENT LLC

RIA

CRD#: 151965

HOUSTON, TX

Past

July 10, 2008 - December 31, 2010

CAZ/INROADS GROUP, L.L.C.

RIA

CRD#: 147278

HOUSTON, TX

Past

July 29, 1997 - August 23, 2001

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

June 6, 1994 - July 18, 1997

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

September 13, 1991 - June 9, 1994

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

February 13, 1991 - September 17, 1991

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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".

CAZ INVESTMENTS L.P.

CAZ INVESTMENTS L.P. | TRINITY WEALTH MANAGEMENT LP

CRD#: 113931 / SEC#: 801-60606

RIA

Registered Investment Advisory firm - (9/27/2001 Approved)

Texas

Registered Investment Advisory firm - (9/27/2001 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

Texas
(8/16/2001)

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: 12/17/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/21/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 4/2/1991

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 2/11/1991

General Securities Representative Examination

Current Firm

CAZ INVESTMENTS L.P.

CAZ INVESTMENTS L.P. | TRINITY WEALTH MANAGEMENT LP

CRD#: 113931 / SEC#: 801-60606

RIA

Registered Investment Advisory firm - (9/27/2001 Approved)

Texas

Registered Investment Advisory firm - (9/27/2001 Terminated)

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Contact information

Main Address

One Riverway Suite 2000, Houston, TX 77056

Mailing Address

Phone number

(713) 403-8250

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025 CAZ DISCLOSURE BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	10,613
AUM (Assets Under Management)	$ 8,653,972,299

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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Firm Stability Insights

Christopher A. Zook

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Alan Zook SR's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAZ INVESTMENTS REGISTERED ADVISER LLC

INROADS CAPITAL MANAGEMENT LLC

CAZ/INROADS GROUP, L.L.C.

CIBC WORLD MARKETS CORP.

PRUDENTIAL EQUITY GROUP, LLC

LEHMAN BROTHERS INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

CAZ INVESTMENTS L.P.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/17/1992

Series 63

Date: 2/21/1991

Series 3

Date: 4/2/1991

Series 7

Date: 2/11/1991

Current Firm

CAZ INVESTMENTS L.P.

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAZ INVESTMENTS L.P.

TRUST BUT VERIFY

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