Christopher Behan

RIA ADVISORS

Houston, TX 77079

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CRD#: 2848210

Professional summary

Christopher Behan is a registered financial advisor currently at RIA ADVISORS located in Houston, Texas.

Christopher is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Christopher has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 9 and Series 10 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.

My wife has a consulting business that helps individuals and teams work better together by utilizing the DISC model of Human Behavior. I receive no commission from the business. J BEHAN CONSULTING; ASSISTANT TO THE OWNER; INVESTMENT RELATED: NO; 77024; IT IS A CONSULTING BUSINESS THAT IS FOCUSED ON CREATING BETTER AWARENESS OF THE STRENGTHS AND BLIND SPOTS OF INDIVIDUALS AND TEAMS.; I HELP THE OWNER WHEN SHE IS PRESENTING LIVE CONTACT. I MAKE SURE ALL HER MATTER IS IN PLACE WHEN SHE SPEAKS; 2021-01-01; HOURS DEVOTED TO BUSINESS OUTSIDE TRADING HOURS: 2;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Behan'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®

None

Experience

Current

January 14, 2022 - Present

RIA ADVISORS

Office #1: 11750 Katy Freeway Suite 840, Houston, TX 77079

RIA

CRD#: 150661

Houston, TX

Past

February 22, 2021 - November 11, 2021

HAVEN WEALTH GROUP

RIA

CRD#: 148099

HOUSTON, TX

Past

March 31, 2008 - January 29, 2021

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Houston, TX

Past

March 31, 2008 - January 29, 2021

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Houston, TX

Past

January 26, 2007 - February 28, 2008

TD AMERITRADE, INC.

RIA

CRD#: 7870

HOUSTON, TX

Past

January 26, 2007 - February 28, 2008

TD AMERITRADE, INC.

CRD#: 7870

HOUSTON, TX

Past

October 23, 2006 - January 5, 2007

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

HOUSTON, TX

Past

October 5, 2006 - January 5, 2007

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

HOUSTON, TX

Past

November 8, 2004 - December 16, 2004

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

HOUSTON, TX

Past

May 5, 2004 - December 16, 2004

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

March 1, 2000 - October 24, 2003

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

May 22, 1998 - February 16, 2000

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

May 22, 1998 - February 16, 2000

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

March 4, 1997 - May 18, 1998

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

HOUSTON, TX

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".

RIA ADVISORS

CRD#: 150661 / SEC#: 801-77832

RIA

Registered Investment Advisory firm - (4/16/2013 Approved)

Arizona

Registered Investment Advisory firm - (4/23/2013 Terminated)

Louisiana

Registered Investment Advisory firm - (4/25/2013 Terminated)

Oklahoma

Registered Investment Advisory firm - (4/23/2013 Terminated)

Texas

Registered Investment Advisory firm - (4/23/2013 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.

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

Texas
(1/14/2022)

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: 11/4/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/5/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/14/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/3/1997

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 9

Date: 6/18/2002

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 2/13/2002

General Securities Sales Supervisor - General Module Examination

Current Firm

RIA ADVISORS

CRD#: 150661 / SEC#: 801-77832

RIA

Registered Investment Advisory firm - (4/16/2013 Approved)

Arizona

Registered Investment Advisory firm - (4/23/2013 Terminated)

Louisiana

Registered Investment Advisory firm - (4/25/2013 Terminated)

Oklahoma

Registered Investment Advisory firm - (4/23/2013 Terminated)

Texas

Registered Investment Advisory firm - (4/23/2013 Terminated)

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Contact information

Main Address

11750 Katy Freeway Suite 840, Houston, TX 77079

Mailing Address

Phone number

(281) 501-1791

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (34 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 - CLARITY FINANCIAL, LLC (5/5/2025)

Regulatory assets under management

Total Number of Accounts	3,581
AUM (Assets Under Management)	$ 1,530,453,633

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.

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Advisor Monitoring

Firm Stability Insights

Christopher Behan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Behan's CRS (Customer Relationship Summary).

Certified licenses

Experience

HAVEN WEALTH GROUP

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

TD AMERITRADE, INC.

TD AMERITRADE, INC.

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

CHARLES SCHWAB & CO., INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

INVESCO DISTRIBUTORS, INC.

Primary Firm SEC Registration

RIA ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 11/4/2004

Series 63

Date: 6/5/1997

SIE

Date: 10/1/2018

Series 7

Date: 7/14/1998

Series 6

Date: 3/3/1997

Series 9

Date: 6/18/2002

Series 10

Date: 2/13/2002

Current Firm

RIA ADVISORS

Contact information

SEC notice filing (34 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RIA ADVISORS

TRUST BUT VERIFY

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