CW
Chris L. Weston
RIA ADVISORY GROUP
DES MOINES, IA 50309
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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.
LIFE STAGE BROKERAGE - DBA COMMUNITY EDUCATORS, LLC POSITION: Part Owner 17.5% market CE NATURE: Continuing Education Company. We provide CE to licensed Insurance agents Iowa, Nebraska, Texas and Wisconsin We also provide Ethics for CFP through the CFP Board of Standards nationwide INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 4 START DATE: 05/01/2022 ADDRESS: 1566 IA-9, Decorah IA 52101 DESCRIPTION: We provide Continuing education credits through classes. Instructors write the coursework; we get it approved through the various states and provide a infrastructure to market and sell CEI also teach CFP ethics 12 to 15 times per year. SOCIETY OF FINANCIAL SERVICES PROFESSIONALS POSITION: current president NATURE: Industry Organization NON-PROFIT Promotion of the Financial Services Industry INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 06/01/2019 ADDRESS: 3663 Grand Ave UNIT g1, Des Moines IA 50312 DESCRIPTION: Promotion of the financial services profession DSMC, LLC POSITION: part owner NATURE: real estate partnership with my bother and friend (Neither are SAI Reps or clients INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2018 ADDRESS: 2623 Wedgewood Road, Des Moines IA 50317 DESCRIPTION: purchase of rental real estate WESTON FINANCIAL SERVICES LLC POSITION: Owner/agent NATURE: Personal Sales of various insurance products INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 6 START DATE: 12/01/2012 ADDRESS: 638 Laurel Place, Norwalk IA 50211 DESCRIPTION: In conjunction with my IMO I offer products to clients on a non-securities basis. insurance etc. THE LIFE STAGE COMPANIES DBA AS LIFE STATE BROKERAGE POSITION: Managing Member/ Founder NATURE: The Life Stage Companies, LLC DBA Life Stage Brokerage. Recruiting and wholesaling non securities related products to independent agents and insurance agents. Products include Life Insurance including term, whole life, universal, and index (WITH DISCLSURE and BD Authorization if affiliated). Annuities, including spia, myga, index (Disclosure), Group Ins, disability income, med sups, home health care and final expense as well as preneed insurance and physical gold and silver INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 8 START DATE: 05/01/2021 ADDRESS: 638 Laurel Place, Norwalk IA 50211 DESCRIPTION: with respect to "Investment" we do offer annuities. These annuities are NON SECURITIES RELATED.... we offer no variable products MED MUTUAL PROTECT (FORMERLY KEMPER) POSITION: Agent NATURE: Sales of Medicare Supplement and home health care products INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/01/2022 ADDRESS: 638 Laurel Place, Norwalk IA 50211 DESCRIPTION: Sales of Medicare Supplement and Home Health Care Insurance PHYSICIANS MUTUAL POSITION: Agent NATURE: Sales of Medicare Supplements, Dental and supplemental health insurance INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 10 START DATE: 03/01/2023 ADDRESS: 638 Laurel Place, Norwalk IA 50211 DESCRIPTION: sales of med sup, dental and other supplemental health insurance SA3 WEALTH POSITION: Advisory NATURE: Advisory INVESTMENT RELATED: Yes NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 100 START DATE: 04/24/2023 ADDRESS: 1415 28th Street, suite 300, West Des Moines IA 50266 DESCRIPTION: Advisory services offered the SAA
CRS (Client Relationship Summary) - RIA
Click below to view Chris Lee Weston's 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®
Start date: 2007
Experience
Current
October 9, 2024 - Present
RIA ADVISORY GROUP, LLC
Office #1: 500 Sw 7th Street Suite 204, Des Moines, IA 50309RIA
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
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
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)Upgrade to AdvisorCheck Premium
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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)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,009 |
| AUM (Assets Under Management) | $ 456,517,836 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
RIA ADVISORY GROUP, LLC
CRD#: 152566Des Moines, IA 50309TRUST BUT VERIFY
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