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CW

Chris L. Weston

RIA ADVISORY GROUP
DES MOINES, IA 50309
Some features on this profile are disabled
CRD#: 2705903
CW

Professional summary

Chris Lee Weston, CFP®, ChFC®, who also goes by Chris L Weston, Chris Lee Weston, is a registered financial advisor currently at RIA ADVISORY GROUP, LLC located in Des Moines, Iowa.

Chris is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Chris has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Chris L Weston | Chris Lee Weston

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 Chris Lee Weston'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®
CFP®

Certified Financial Planner

Start date: 2007

ChFC®

Chartered Financial Consultant

Experience

Current

October 9, 2024 - Present

RIA ADVISORY GROUP, LLC

Office #1: 500 Sw 7th Street Suite 204, Des Moines, IA 50309
RIA
CRD#: 152566
DES MOINES, IA
Past

April 27, 2023 - December 20, 2023

SECURITIES AMERICA, INC.

BD
CRD#: 10205
WEST DES MOINES, IA
Past

April 26, 2023 - December 20, 2023

SECURITIES AMERICA ADVISORS, INC.

RIA
CRD#: 110518
WEST DES MOINES, IA
Past

September 22, 2021 - October 12, 2022

BELPOINTE ASSET MANAGEMENT LLC

RIA
CRD#: 143440
Norwalk, IA
Past

December 13, 2012 - April 30, 2021

WADDELL & REED

RIA
CRD#: 866
NORWALK, IA
Past

December 13, 2012 - April 30, 2021

WADDELL & REED

BD
CRD#: 866
NORWALK, IA
Past

May 1, 2007 - December 18, 2012

SECURITIES AMERICA ADVISORS, INC.

RIA
CRD#: 110518
DES MOINES, IA
Past

April 20, 2007 - December 18, 2012

SECURITIES AMERICA, INC.

BD
CRD#: 10205
DES MOINES, IA
Past

April 17, 2006 - March 30, 2007

CETERA INVESTMENT SERVICES LLC

RIA
CRD#: 15340
CHARITON, IA
Past

April 17, 2006 - March 30, 2007

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
CHARITON, IA
Past

July 1, 2004 - April 17, 2006

INVEST FINANCIAL CORPORATION

RIA
CRD#: 12984
DES MOINES, IA
Past

October 23, 2001 - April 17, 2006

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984
DES MOINES, IA
Past

July 19, 2000 - November 13, 2001

AMERITAS INVESTMENT COMPANY, LLC

BD
CRD#: 14869
LINCOLN, NE
Past

February 3, 1999 - July 17, 2000

LOCUST STREET SECURITIES, INC.

BD
CRD#: 1703
DES MOINES, IA
Past

September 4, 1998 - December 15, 1998

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY
Past

September 20, 1997 - September 2, 1998

MERCANTILE INVESTMENT SERVICES, INC.

BD
CRD#: 19908
ST. LOUIS, MO
Past

February 21, 1996 - September 15, 1997

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
MILWAUKEE, WI
Past

February 21, 1996 - September 15, 1997

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
MILWAUKEE, WI

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".
RA
RIA ADVISORY GROUP, LLC
DAKOTA ADVISORY TEAM | TRIPOINT ADVISORY GROUP, LLC | RIEA | RIAG, LLC DBA RIA ADVISORS | RIA ADVISORY GROUP, LLC | PEDERSEN INSURANCE & FINANCIAL SERVICES | LIFESTYLES INVESTMENT STRATEGIES | IEA WEALTH MANAGEMENT, LLC | IEA WEALTH MANAGEMENT LLC | EA-ADVISORS, LLC | EA ADVISORS

CRD#: 152566 / SEC#: 801-117837

RIA
Registered Investment Advisory firm - (1/2/2020 Approved)
Iowa
Registered Investment Advisory firm - (1/2/2020 Terminated)
Minnesota
Registered Investment Advisory firm - (1/6/2020 Terminated)
Missouri
Registered Investment Advisory firm - (1/2/2020 Terminated)
Nevada
Registered Investment Advisory firm - (2/5/2020 Terminated)
Texas
Registered Investment Advisory firm - (1/2/2020 Terminated)

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
Iowa
(10/9/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/25/2004
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/20/1996
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 7
Date: 12/1/1997
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/20/1996
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 9/1/2005
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/28/2005
General Securities Principal Examination

Current Firm

RA
RIA ADVISORY GROUP, LLC
DAKOTA ADVISORY TEAM | TRIPOINT ADVISORY GROUP, LLC | RIEA | RIAG, LLC DBA RIA ADVISORS | RIA ADVISORY GROUP, LLC | PEDERSEN INSURANCE & FINANCIAL SERVICES | LIFESTYLES INVESTMENT STRATEGIES | IEA WEALTH MANAGEMENT, LLC | IEA WEALTH MANAGEMENT LLC | EA-ADVISORS, LLC | EA ADVISORS

CRD#: 152566 / SEC#: 801-117837

RIA
Registered Investment Advisory firm - (1/2/2020 Approved)
Iowa
Registered Investment Advisory firm - (1/2/2020 Terminated)
Minnesota
Registered Investment Advisory firm - (1/6/2020 Terminated)
Missouri
Registered Investment Advisory firm - (1/2/2020 Terminated)
Nevada
Registered Investment Advisory firm - (2/5/2020 Terminated)
Texas
Registered Investment Advisory firm - (1/2/2020 Terminated)
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Contact information

Main Address
500 Sw 7th Street Suite 204, Des Moines, IA 50309
Mailing Address
Phone number
(515) 965-8588
Established
Firm type
Fiscal year end
# of Employees
23

SEC notice filing (13 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 FORM 2A CLIENT BROCHURE (3/18/2025)

Regulatory assets under management

Total Number of Accounts3,009
AUM (Assets Under Management)$ 456,517,836

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

RIA ADVISORY GROUP, LLC

CRD#: 152566Des Moines, IA 50309

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