CA
Christopher L. Ainsworth
PAVE INVESTMENT ADVISORS.
Newport Coast, CA
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CRD#: 2726985
CA
Professional summary
Christopher Lee Ainsworth is a registered financial advisor currently at PAVE INVESTMENT ADVISORS, LLC. located in Newport Coast, California and PAVE SECURITIES, LLC located in Newport Coast, California.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Christopher has worked at 5 firms and has passed the Series 66, Series 63, Series 52TO, Series 7TO, SIE, Series 7, Series 31, Series 4, Series 27 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1 - NOB: Children's Hospital of Orange County. TITLE: Director. Start Date: 2020. Not-Investment Related. DUTIES: Sit on the foundations board of directors. Approx 4 hrs per month. 2 - NOB: Pave Finance, Inc. TITLE: Chairman & CEO. Start Date: November 2022. Not-Investment Related. DUTIES: Oversee all business activities of the firm. Approx. 40 hrs per month. 3 - NOB: Pave Investment Advisors, LLC. TITLE: CCO. Start Date: November 2022. Investment Related. DUTIES: Lead Compliance for the Investment Advisor. Approx. 10 hrs per month. 4 - NOB: Systematic Alpha Investments, LLC. TITLE: CCO. Start Date: January 2023. Investment Related. DUITES: Act as Chief Compliance Officer of the organization. Approx. 20 hrs per month.
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Lee Ainsworth'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®
NoneExperience
Current
March 18, 2024 - Present
PAVE INVESTMENT ADVISORS, LLC.
RIA
CRD#: 322420
Newport Coast, CA
Current
August 29, 2023 - Present
PAVE SECURITIES, LLC
BD
CRD#: 324533
Newport Coast, CA
Past
June 14, 2019 - November 22, 2022
DEUTSCHE BANK SECURITIES INC.
RIA
CRD#: 2525
SAN FRANCISCO, CA
Past
May 21, 2019 - November 22, 2022
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
SAN FRANCISCO, CA
Past
October 6, 2004 - July 6, 2005
BACAP DISTRIBUTORS, LLC
BD
CRD#: 46088
CHARLOTTE, NC
Past
May 3, 1996 - October 14, 1998
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, 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".
PI
PAVE INVESTMENT ADVISORS, LLC.
PAVE FINANCE, INC. | PAVE, LLC | PAVE INVESTMENT ADVISORS, LLC.
CRD#: 322420 / SEC#: 801-126164
RIA
Registered Investment Advisory firm - (7/22/2022 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(9/9/2024)
RR
Alaska(5/6/2025)
RR
Arizona(4/12/2024)
RR
Arkansas(1/29/2024)
RR
California(10/17/2023)
IAR
California(3/18/2024)
RR
Colorado(4/12/2024)
RR
Connecticut(3/27/2024)
RR
Delaware(5/6/2025)
RR
District of Columbia(4/1/2025)
RR
Florida(2/8/2024)
RR
Georgia(5/31/2024)
RR
Hawaii(1/8/2024)
RR
Idaho(5/6/2025)
RR
Illinois(5/30/2024)
RR
Indiana(5/14/2024)
RR
Iowa(5/6/2025)
RR
Kansas(3/28/2024)
RR
Kentucky(4/24/2024)
RR
Louisiana(5/6/2025)
RR
Maine(8/21/2025)
RR
Maryland(9/10/2024)
RR
Massachusetts(10/3/2024)
RR
Michigan(11/17/2023)
RR
Minnesota(9/16/2024)
RR
Mississippi(5/6/2025)
RR
Missouri(5/30/2024)
RR
Montana(8/12/2024)
RR
Nebraska(5/6/2025)
RR
Nevada(5/2/2024)
RR
New Hampshire(6/17/2025)
RR
New Jersey(2/28/2024)
RR
New Mexico(2/18/2025)
RR
New York(10/10/2023)
RR
North Carolina(10/20/2023)
RR
Ohio(5/8/2024)
RR
Oklahoma(5/6/2025)
RR
Oregon(5/3/2024)
RR
Pennsylvania(8/12/2024)
RR
Puerto Rico(7/10/2025)
RR
Rhode Island(5/6/2025)
RR
South Carolina(8/7/2024)
RR
South Dakota(5/7/2025)
RR
Tennessee(5/2/2024)
RR
Texas(3/18/2024)
RR
Utah(3/29/2024)
RR
Vermont(5/13/2025)
RR
Virginia(8/20/2024)
RR
Washington(4/2/2024)
RR
West Virginia(5/6/2025)
RR
Wisconsin(5/6/2025)
RR
Wyoming(5/13/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 3/22/2024
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 5/21/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PI
PAVE INVESTMENT ADVISORS, LLC.
PAVE FINANCE, INC. | PAVE, LLC | PAVE INVESTMENT ADVISORS, LLC.
CRD#: 322420 / SEC#: 801-126164
RIA
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Contact information
Main Address
171 Madison Avenue Suite 1500, New York, NY 10016
Mailing Address
Phone number
(646) 690-2800
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,842 |
| AUM (Assets Under Management) | $ 669,568,934 |
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.
