AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
CM

Christopher D. Moody

Some features on this profile are disabled
CRD#: 2808803
CM

Professional summary

Christopher Duncan Moody was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Christopher is a previously registered financial advisor and started their career in finance in 1996. Prior to being barred, Christopher had worked at 4 firms, which includes CAPITAL SECURITIES OF AMERICA INC., UBS FINANCIAL SERVICES INC., IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chris Moody | Christopher D Moody

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 5, 2005 - June 20, 2005

CAPITAL SECURITIES OF AMERICA, INC.

BD
CRD#: 36405
HARTVILLE, OH
Past

April 16, 1997 - January 30, 2003

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
SARASOTA, FL
Past

April 11, 1997 - January 30, 2003

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

November 27, 1996 - April 16, 1997

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

November 27, 1996 - April 16, 1997

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: 5/2/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/2/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 9/29/1998
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 11/26/1996
General Securities Representative Examination

Current Firm

CS
CAPITAL SECURITIES OF AMERICA, INC.
CAPITAL CITY INVESTMENTS | THE OASIS ASSET MANAGEMENT, LLC | SOUTH BAY INVESTMENT GROUP, LLC | PROACTIVE PORTFOLIO MANAGEMENT, LLC | PERRY REGHETTI & ASSOCIATES | LONE TREE FINANCIAL GROUP, LLC | KALTBAUM & ASSOCIATES | CORE INVESTMENTS | CAPITAL SECURITIES OF AMERICA, INC. | CAPITAL SECURITIES OF AMERICA

CRD#: 36405 / SEC#: , 8-47253

BD
Terminated by SEC on 05/01/2007
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
Mailing Address
Phone number
Established
Ohio since 08/06/1992
Firm type
Corporation
Fiscal year end
September
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
WUNDERLICH INVESTMENT COMPANY, INCSHAREHOLDER
CLINE, JERRY LEEPRESIDENT1350020
CLINE, JERRY LEESECRETARY1350020
MOHNEY, BRIAN EUGENESROP, COO, CFO, CROP2890043
WISWALL, TRACY LEIGHTONCHIEF COMPLIANCE OFFICER3023407
WUNDERLICH, GARY KENT JRCHIEF EXECUTIVE OFFICER2256877

Disclosures

Regulatory Event4
Arbitration2

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

CAPITAL SECURITIES OF AMERICA, INC.

CRD#: 36405

TRUST BUT VERIFY

Monitor Christopher Moody

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics