Christopher M. Carter

Some features on this profile are disabled

CRD#: 2634517

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 Matthew Carter was a registered financial professional .

Christopher is a previously registered financial professional and started their career in finance in 1996. Christopher had worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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

January 16, 2018 - September 17, 2025

NAVALIGN, LLC

RIA

CRD#: 119919

ENCINO, CA

Past

June 5, 2002 - December 31, 2017

NAVALIGN, LLC

RIA

CRD#: 119919

SHERMAN OAKS, CA

Past

December 7, 2000 - January 30, 2002

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

NASHVILLE, TN

Past

November 4, 1997 - December 7, 2000

SANFORD C. BERNSTEIN & CO., INC.

CRD#: 1232

NEW YORK, NY

Past

October 28, 1996 - September 8, 1997

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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".

NAVALIGN, LLC

1080 FINANCIAL GROUP | NAVALIGN, LLC | LAURUS INVESTMENT MANAGEMENT, LLC | CARTER JACOBS, LLC | CARTER JACOBS

CRD#: 119919 / SEC#: 801-66206

RIA

Registered Investment Advisory firm - (1/30/2006 Approved)

California

Registered Investment Advisory firm - (7/21/2012 Terminated)

Utah

Registered Investment Advisory firm - (1/31/2006 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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 12/18/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/22/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/25/1996

General Securities Representative Examination

Current Firm

NAVALIGN, LLC

1080 FINANCIAL GROUP | NAVALIGN, LLC | LAURUS INVESTMENT MANAGEMENT, LLC | CARTER JACOBS, LLC | CARTER JACOBS

CRD#: 119919 / SEC#: 801-66206

RIA

Registered Investment Advisory firm - (1/30/2006 Approved)

California

Registered Investment Advisory firm - (7/21/2012 Terminated)

Utah

Registered Investment Advisory firm - (1/31/2006 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

15910 Ventura Blvd Suite 1605, Encino, CA 91436

Mailing Address

Phone number

(818) 728-4500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV 2A: FIRM BROCHURE (9/17/2025)

Regulatory assets under management

Total Number of Accounts	1,845
AUM (Assets Under Management)	$ 655,556,765

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Christopher M. Carter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NAVALIGN, LLC

NAVALIGN, LLC

SANFORD C. BERNSTEIN & CO., LLC

SANFORD C. BERNSTEIN & CO., INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

NAVALIGN, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/18/1996

Series 63

Date: 11/22/1996

Series 7

Date: 10/25/1996

Current Firm

NAVALIGN, LLC

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NAVALIGN, LLC

TRUST BUT VERIFY

Similar Advisors