Christopher A. Etheridge

OLIVE BRANCH CAPITAL

Olive Branch, MS

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CRD#: 2399881

Professional summary

Christopher A Etheridge, who also goes by Chris Etheridge, Christopher Etheridge, is a registered financial advisor currently at OLIVE BRANCH CAPITAL, LLC located in Olive Branch, Mississippi.

Christopher is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Christopher has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Chris Etheridge | Christopher Etheridge

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.

INSURANCE SALES, YES, OLIVE BRANCH, MS, INSURANCE, INSURANCE SALESPERSON, 7/2019, 1O HOURS PER MONTH, 1O HOURS DURING TRADING HOURS, SALES OF INSURANCE PRODUCTS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher A Etheridge'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

June 24, 2019 - Present

OLIVE BRANCH CAPITAL, LLC

RIA

CRD#: 302094

Olive Branch, MS

Past

November 13, 2008 - November 13, 2019

DCJ GLOBAL WEALTH MANAGEMENT

RIA

CRD#: 148398

GERMANTOWN, TN

Past

November 3, 2008 - November 6, 2008

LPL FINANCIAL LLC

RIA

CRD#: 6413

GERMANTOWN, TN

Past

November 3, 2008 - July 2, 2019

LPL FINANCIAL LLC

CRD#: 6413

GERMANTOWN, TN

Past

September 12, 2006 - November 3, 2008

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

CORDOVA, TN

Past

September 9, 2005 - November 3, 2008

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

CORDOVA, TN

Past

January 14, 2004 - September 12, 2005

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

MEMPHIS, TN

Past

December 15, 2000 - September 12, 2005

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

July 23, 1999 - December 21, 2000

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

November 12, 1993 - February 23, 1994

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

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".

OLIVE BRANCH CAPITAL, LLC

CRD#: 302094 / SEC#: 801-127490

RIA

Registered Investment Advisory firm - (3/20/2023 Approved)

Louisiana

Registered Investment Advisory firm - (3/21/2023 Terminated)

Mississippi

Registered Investment Advisory firm - (3/21/2023 Terminated)

Tennessee

Registered Investment Advisory firm - (3/21/2023 Terminated)

Texas

Registered Investment Advisory firm - (3/21/2023 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

Mississippi
(6/24/2019)

IAR

Tennessee
(11/24/2020)

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: 9/6/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/21/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 3/21/2006

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/22/1999

General Securities Representative Examination

Current Firm

OLIVE BRANCH CAPITAL, LLC

CRD#: 302094 / SEC#: 801-127490

RIA

Registered Investment Advisory firm - (3/20/2023 Approved)

Louisiana

Registered Investment Advisory firm - (3/21/2023 Terminated)

Mississippi

Registered Investment Advisory firm - (3/21/2023 Terminated)

Tennessee

Registered Investment Advisory firm - (3/21/2023 Terminated)

Texas

Registered Investment Advisory firm - (3/21/2023 Terminated)

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Contact information

Main Address

Olive Branch, MS

Mailing Address

Phone number

(901) 338-3400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

OBC WRAP (3/4/2025)

OBC ADV PART 2A (3/4/2025)

Regulatory assets under management

Total Number of Accounts	291
AUM (Assets Under Management)	$ 131,034,500

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. Etheridge

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher A Etheridge's CRS (Customer Relationship Summary).

Certified licenses

Experience

DCJ GLOBAL WEALTH MANAGEMENT

LPL FINANCIAL LLC

LPL FINANCIAL LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

LPL FINANCIAL LLC

EDWARD JONES

Primary Firm SEC Registration

OLIVE BRANCH CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/6/2006

Series 63

Date: 7/21/1999

SIE

Date: 10/1/2018

Series 31

Date: 3/21/2006

Series 7

Date: 7/22/1999

Current Firm

OLIVE BRANCH CAPITAL, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

OLIVE BRANCH CAPITAL, LLC

TRUST BUT VERIFY

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