Christopher B. Ariola

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CRD#: 2957096

Professional summary

Christopher B Ariola was barred by the FINRA 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 1997. Prior to being barred, Christopher had worked at 7 firms, which includes WEALTHSPIRE RETIREMENT ADVISORY, FINANCIAL TELESIS INC, BAY MUTUAL FINANCIAL LLC, WELLS FARGO CLEARING SERVICES LLC, PRUDENTIAL EQUITY GROUP LLC, EQUITY TRUST ADVISORS INC., MORGAN STANLEY DW INC..

Question & Answer

Are you a "fiduciary"?

Aliases

Christopher Basile Ariola

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

November 14, 2012 - June 12, 2014

WEALTHSPIRE RETIREMENT ADVISORY

RIA

CRD#: 121254

ALISO VIEJO, CA

Past

November 5, 2012 - September 3, 2014

FINANCIAL TELESIS INC

CRD#: 31012

ALISO VIEJO, CA

Past

October 1, 2012 - September 3, 2014

FINANCIAL TELESIS INC

RIA

CRD#: 31012

ALISO VIEJO, CA

Past

June 20, 2005 - September 24, 2012

BAY MUTUAL FINANCIAL, LLC

RIA

CRD#: 130535

SANTA MONICA, CA

Past

September 21, 2004 - September 24, 2012

BAY MUTUAL FINANCIAL, LLC

CRD#: 130535

SANTA MONICA, CA

Past

July 1, 2003 - October 4, 2004

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

LOS ANGELES, CA

Past

July 1, 2003 - October 4, 2004

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

September 13, 2001 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA

CRD#: 7471

LOS ANGELES, CA

Past

March 9, 2001 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

May 31, 2000 - March 7, 2001

EQUITY TRUST ADVISORS, INC.

CRD#: 44799

IRVINE, CA

Past

October 28, 1997 - May 30, 2000

MORGAN STANLEY DW INC.

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".

WEALTHSPIRE RETIREMENT ADVISORY

CRD#: 121254 / SEC#: 801-66107

RIA

Registered Investment Advisory firm - (1/31/2006 Approved)

California

Registered Investment Advisory firm - (2/9/2006 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.

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 11/3/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 1/6/1998

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 10/27/1997

General Securities Representative Examination

Current Firm

WEALTHSPIRE RETIREMENT ADVISORY

CRD#: 121254 / SEC#: 801-66107

RIA

Registered Investment Advisory firm - (1/31/2006 Approved)

California

Registered Investment Advisory firm - (2/9/2006 Terminated)

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Contact information

Main Address

120 Vantis Suite 400, Aliso Viejo, CA 92656

Mailing Address

Phone number

(949) 460-9898

Established

Firm type

Fiscal year end

# of Employees

240

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NFP RETIREMENT (11/20/2025)

Regulatory assets under management

Total Number of Accounts	9,394
AUM (Assets Under Management)	$ 118,031,461,765

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 B. Ariola

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FINANCIAL TELESIS INC

FINANCIAL TELESIS INC

BAY MUTUAL FINANCIAL, LLC

BAY MUTUAL FINANCIAL, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

EQUITY TRUST ADVISORS, INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

WEALTHSPIRE RETIREMENT ADVISORY

State Registrations and Notice Filings

Exams

Series 63

Date: 11/3/1997

Series 31

Date: 1/6/1998

Series 7

Date: 10/27/1997

Current Firm

WEALTHSPIRE RETIREMENT ADVISORY

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEALTHSPIRE RETIREMENT ADVISORY

TRUST BUT VERIFY

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