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CM

Christopher K. Mais

THE CHARTIST
LONG BEACH, CA 90803
Some features on this profile are disabled
CRD#: 2449031
CM

Professional summary

Christopher Kier Mais, who also goes by Christopher Mais, is a registered financial advisor currently at THE CHARTIST located in Long Beach, California.

Christopher is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Christopher has worked at 1 firm and has passed the Series 63, Series 65 and Series 2 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Christopher Mais

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 Kier Mais'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

July 8, 1997 - Present

THE CHARTIST

Office #1: 6621 E. Pacific Coast Hwy Suite 200, Long Beach, CA 90803
RIA
CRD#: 105072
LONG BEACH, CA

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".
TC
THE CHARTIST
CHARTIST INC | THE CHARTIST

CRD#: 105072 / SEC#: 801-11714

RIA
Registered Investment Advisory firm - (7/1/1976 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
California
(7/8/1997)

Exams

State Security Law Exam
RR
Series 63
Date: 6/15/1995
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 1/10/1994
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 2
Date: 12/1/1995
Non-Member General Securities Examination

Current Firm

TC
THE CHARTIST
CHARTIST INC | THE CHARTIST

CRD#: 105072 / SEC#: 801-11714

RIA
Registered Investment Advisory firm - (7/1/1976 Approved)
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Contact information

Main Address
6621 E. Pacific Coast Hwy. #240, Long Beach, CA 90803
Mailing Address
P.o. Box 758, Seal Beach, CA 90740
Phone number
(562) 596-2385
Established
Firm type
Fiscal year end
# of Employees
3

SEC notice filing (7 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

ADV PART 2 2024 (1/17/2025)

Regulatory assets under management

Total Number of Accounts479
AUM (Assets Under Management)$ 179,132,160

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

THE CHARTIST

CRD#: 105072Long Beach, CA 90803

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