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CL

Christopher T. Luce

Some features on this profile are disabled
CRD#: 2530852
CL

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Christopher Thomas Luce, who also goes by Chris Luce, was a registered financial professional .

Christopher is a previously registered financial professional and started their career in finance in 1994. Christopher had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chris Luce

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 7, 2017 - July 24, 2023

ENTORO SECURITIES, LLC

BD
CRD#: 35192
HOUSTON, TX
Past

June 14, 2017 - October 20, 2017

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

BD
CRD#: 154559
SALT LAKE CITY, UT
Past

September 19, 2008 - June 27, 2017

LPL FINANCIAL LLC

RIA
CRD#: 6413
DALLAS, TX
Past

September 19, 2008 - June 27, 2017

LPL FINANCIAL LLC

BD
CRD#: 6413
DALLAS, TX
Past

November 8, 2006 - September 22, 2008

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
DALLAS, TX
Past

October 26, 2006 - September 22, 2008

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
DALLAS, TX
Past

October 11, 2004 - December 20, 2005

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
DALLAS, TX
Past

October 11, 2004 - December 20, 2005

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
DALLAS, TX
Past

August 14, 1995 - November 18, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
PLANO, TX
Past

August 10, 1995 - November 18, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

October 3, 1994 - June 27, 1995

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

October 3, 1994 - June 27, 1995

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 8/23/1995
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/2/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 5/7/2003
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 8/30/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/28/2010
General Securities Principal Examination

Current Firm

ES
ENTORO SECURITIES, LLC
CLEARINGHOUSE SECURITIES LLC | THE PETROLEUM CLEARINGHOUSE, INC. | THE OIL & GAS ASSET CLEARINGHOUSE, INC. | THE OIL & GAS ASSET CLEARINGHOUSE II, LLC | THE OGA CLEARINGHOUSE, INC. | ENTORO SECURITIES, LLC

CRD#: 35192 / SEC#: , 8-46630

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
7941 Katy Freeway Suite 516, Houston, TX 77024
Mailing Address
7941 Katy Freeway Suite 516, Houston, TX 77024
Phone number
(713) 823-2900
Established
Delaware since 05/28/2008
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ENTORO CAPITAL LLC (WY)SOLE MEMBER
COPSON, MEIHUIREGISTERED PRINCIPAL7187064
COPSON, MEIHUIAML COMPLIANCE PRINCIPAL7187064
GOODIN, DIANE MARIEFINOP3117840
ROW, CATALINA ELIZABETHREGISTERED PRINCIPAL7631359
ROW, JAMES CAVEDODESIGNATED PRINCIPAL, CHIEF COMPLIANCE OFFICER1751837

Disclosures

Regulatory Event1

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

ENTORO SECURITIES, LLC

CRD#: 35192

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