CW
Christopher M. Winkler
ASPIREAN WEALTH
Mill Valley, CA 94941
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CRD#: 2942476
CW
Professional summary
Christopher Michael Winkler is a registered financial advisor currently at ASPIREAN WEALTH, LLC located in Mill Valley, California.
Christopher is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Christopher has worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 62, Series 6 and Series 26 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.
EXECUTIVE PLANNING GROUP POSITION: Principal NATURE: Rental account for real estate property owned INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2000 ADDRESS: 160 Rail Rd, Suite 4, Chesterton IN 46304, United States DESCRIPTION: Real estate property I own and rent LEGACY ADVISORS AGENCY POSITION: Agent NATURE: LEGACY ADVISORS WEALTH MANAGEMENT/ INSURANCE SALES --PRESIDENT - INVESTMENT RELATED- START DATE: 12/1997 LOCATED AT 160 Rail Rd Suite 4 Chesterton, IN 46304 INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 12/01/1997 ADDRESS: 160 Rail Rd, Suite 4, Chesterton IN 46304, United States DESCRIPTION: Periodic life insurance sales when appropriate to manage client risks.
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Michael Winkler'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
June 1, 2021 - Present
ASPIREAN WEALTH, LLC
Office #1: 6 Knoll Lane Suite B, Mill Valley, CA 94941RIA
CRD#: 173138
Mill Valley, CA
Past
February 10, 2010 - June 1, 2021
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
CHESTERTON, IN
Past
November 2, 2009 - June 1, 2021
SECURITIES AMERICA, INC.
BD
CRD#: 10205
CHESTERTON, IN
Past
April 12, 2002 - November 3, 2009
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
MERRILLVILLE, IN
Past
November 28, 1997 - April 12, 2002
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
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".
AW
ASPIREAN WEALTH, LLC
ASPIREAN WEALTH, LLC | GRACE FINANCIAL ASSOCIATES, LLC
CRD#: 173138 / SEC#: 801-121642
RIA
Registered Investment Advisory firm - (6/25/2021 Approved)California
Registered Investment Advisory firm - (9/12/2021 Terminated)Texas
Registered Investment Advisory firm - (8/13/2021 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
California(8/24/2021)
IAR
Indiana(6/25/2021)
IAR
Texas(6/1/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 12/3/2010
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Current Firm
AW
ASPIREAN WEALTH, LLC
ASPIREAN WEALTH, LLC | GRACE FINANCIAL ASSOCIATES, LLC
CRD#: 173138 / SEC#: 801-121642
RIA
Registered Investment Advisory firm - (6/25/2021 Approved)California
Registered Investment Advisory firm - (9/12/2021 Terminated)Texas
Registered Investment Advisory firm - (8/13/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
6 Knoll Lane Suite B, Mill Valley, CA 94941
Mailing Address
Phone number
(844) 687-5342
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 447 |
| AUM (Assets Under Management) | $ 194,802,079 |
Red Flags
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Company Information
ASPIREAN WEALTH, LLC
CRD#: 173138Mill Valley, CA 94941TRUST BUT VERIFY
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