CF
Christopher L. Felton
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CRD#: 3222050
CF
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Christopher Lee Felton, who also goes by Christopher Felton, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1999. Christopher had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Christopher Felton
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.) BRAND BUILDERS GROUP - REFERRAL AGENT - TEACHING/COACHING - CASTLE ROCK, CO - SINCE 09/2022 - NOT INVESTMENT RELATED 2.) COUPLES MONEY LLC - OWNER, AUTHOR & SPEAKER - TEACHING/COACHING - CASTLE ROCK, CO - SINCE 05/2011 - NOT INVESTMENT RELATED 3.) COLLEGE LOAN FREEDOM - REFERRAL AGENT - TEACHING/COACHING - ENGLEWOOD, CO - SINCE 08/2019 - NOT INVESTMENT RELATED 4.) 247 PROPERTIES LLC - OWNER - REAL ESTATE SALES/RENTAL PROPERTIES/PROPERTY MANAGEMENT - CASTLE ROCK, CO - SINCE 07/2012 - INVESTMENT RELATED 5.) CHRIS FELTON - INSURANCE SALES - NON-VARIABLE INSURANCE - ENGLEWOOD, CO - SINCE 10/2023 - INVESTMENT RELATED 6.) IMPACT LEGACY LLC - OWNER/LESSOR - REAL ESTATE SALES/RENTAL PROPERTIES/PROPERTY MANAGEMENT - ENGLEWOOD, CO - SINCE 11/2021 - INVESTMENT RELATED 7.) PIPER FINANCIAL, INC - OWNER - S CORP-FLOW THROUGH ENTITY FOR 1099 FROM FINANCIAL SERVICES - CASTLE ROCK, CO - SINCE 07/2002 - NOT INVESTMENT RELATED 8.) CHRIS FELTON-AUTHOR - AUTHOR - AUTHOR OF 2 BOOKS, COUPLES MONEY & THINK & GROW YOU - CASTLE ROCK, CO - SINCE 08/2011 - NOT INVESTMENT RELATED 9.) AFFILIATE SALES - REFERRAL AGENT - TEACHING/COACHING - CASTLE ROCK, CO - SINCE 10/2022 - NOT INVESTMENT RELATED 10.) SUMMIT GLOBAL INVESTMENTS, LLC - IAR - REGISTERED INVESTMENT ADVISOR - BOUNTIFUL, UT - SINCE 09/2023 - INVESTMENT RELATED 11.) SUMMIT GLOBAL PRIVATE WEALTH - FINANCIAL ADVISOR, PARTNER - DBA NAME FOR MARKETING PURPOSES ONLY - ENGLEWOOD, CO - SINCE 09/2023 - INVESTMENT RELATED 12.) POWER OF ZERO SEMINARS - POWER OF ZERO PRESENTER - TEACHING/COACHING - ENGLEWOOD, CO - SINCE 11/2023 - INVESTMENT RELATED
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®
NoneExperience
Past
November 27, 2023 - September 25, 2025
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
BD
CRD#: 20804
ENGLEWOOD, CO
Past
September 11, 2023 - September 10, 2025
SUMMIT GLOBAL INVESTMENTS, LLC
RIA
CRD#: 157091
Englewood, CO
Past
January 6, 2012 - September 11, 2023
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
Englewood, CO
Past
January 6, 2012 - September 11, 2023
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
Englewood, CO
Past
July 8, 2006 - January 6, 2012
INVESTMENT ADVISORS INTERNATIONAL, INC.
RIA
CRD#: 139233
CENTENNIAL, CO
Past
June 3, 2005 - August 23, 2006
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
DENVER, CO
Past
April 12, 2002 - January 6, 2012
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
CENTENNIAL, CO
Past
May 4, 1999 - 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".
UP
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
APEX RETIREMENT CONSULTING LLC | YEECORP FINANCIAL | WIRE TO WIRE WEALTH | WENDEL FINANCIAL GROUP | WEALTH AVENUE | VOYAGE PARTNERS FINANCIAL STRATEGIES, LLC | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA | UNITED PLANNERS FINANCIAL SERVICES | UNITED PLANNERS | TRIBUTE FINANCIAL INC. | STEWARDSHIP AMERICA FINANCIAL | SKYE FINANCIAL SERVICES, INC | SKS RETIREMENT SOLUTIONS | RIVERCREST FINANCIAL | RINGENBERG FINANCIAL GROUP | RETIREMENT & MONEY STRATEGIES | PALMER NUNN WEALTH MANAGEMENT | MUNKEBY KRAMER | MARION WEALTH MANAGEMENT GROUP | MABE FINANCIAL GROUP | LONG VIEW FINANCIAL SERVICES, INC. | LEE STOERZINGER, INC. | KILMER & COMPANY | INVESTMENT CENTER | HF CAPITAL GROUP LLC | HEMINGWAY WEALTH MANAGEMENT, LLC | GUIDANT PLANNING, INC | GOTTA RETIREMENT SERVICES, INC. | GER LOFTIN WEALTH ADVISORS, LLC | FULL CIRCLE FINANCIAL | FOOTHILL FINANCIAL GROUP | FIRESKY FINANCIAL INC. | FINANCIAL PLANNING ADVISORS, INC. | CATALYST FINANCIAL STRATEGIES LLC | CAPITAL LEGACY PARTNERS, LLC | BROOKHAVEN WEALTH MANAGEMENT INC. | BERAN FINANCIAL PARTNERS
CRD#: 20804 / SEC#: 801-57198, 8-38485
RIA
Registered Investment Advisory firm - SEC (1/28/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
UP
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
APEX RETIREMENT CONSULTING LLC | YEECORP FINANCIAL | WIRE TO WIRE WEALTH | WENDEL FINANCIAL GROUP | WEALTH AVENUE | VOYAGE PARTNERS FINANCIAL STRATEGIES, LLC | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA | UNITED PLANNERS FINANCIAL SERVICES | UNITED PLANNERS | TRIBUTE FINANCIAL INC. | STEWARDSHIP AMERICA FINANCIAL | SKYE FINANCIAL SERVICES, INC | SKS RETIREMENT SOLUTIONS | RIVERCREST FINANCIAL | RINGENBERG FINANCIAL GROUP | RETIREMENT & MONEY STRATEGIES | PALMER NUNN WEALTH MANAGEMENT | MUNKEBY KRAMER | MARION WEALTH MANAGEMENT GROUP | MABE FINANCIAL GROUP | LONG VIEW FINANCIAL SERVICES, INC. | LEE STOERZINGER, INC. | KILMER & COMPANY | INVESTMENT CENTER | HF CAPITAL GROUP LLC | HEMINGWAY WEALTH MANAGEMENT, LLC | GUIDANT PLANNING, INC | GOTTA RETIREMENT SERVICES, INC. | GER LOFTIN WEALTH ADVISORS, LLC | FULL CIRCLE FINANCIAL | FOOTHILL FINANCIAL GROUP | FIRESKY FINANCIAL INC. | FINANCIAL PLANNING ADVISORS, INC. | CATALYST FINANCIAL STRATEGIES LLC | CAPITAL LEGACY PARTNERS, LLC | BROOKHAVEN WEALTH MANAGEMENT INC. | BERAN FINANCIAL PARTNERS
CRD#: 20804 / SEC#: 801-57198, 8-38485
RIA
Registered Investment Advisory firm - SEC (1/28/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
7333 E. Doubletree Ranch Road #120, Scottsdale, AZ 85258
Mailing Address
P.o. Box 5750, Scottsdale, AZ 85261-5750
Phone number
(480) 991-0225
Established
Arizona since 08/21/1987
Firm type
Partnership
Fiscal year end
December
Firm Size
Large
# of Employees
614
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UNITED PLANNERS' GROUP, INC. | GENERAL PARTNER | |
| BAKER, MICHAEL A | PRESIDENT | 4037933 |
| BAKER, MICHAEL A | CHIEF EXECUTIVE OFFICE (CEO) | 4037933 |
| CUFFARI-AGASI, SHEILA JUNE | EXECUTIVE VICE PRESIDENT | 2401020 |
| HAUER, DAVE B | VICE PRESIDENT COMPLIANCE, CHIEF COMPLIANCE OFFICER | 4018434 |
| OLIVERIO, KENNETH WILLIAM JR | EXECUTIVE VICE PRESIDENT, CHIEF MARKETING OFFICER | 2957427 |
| SHINDEL, CHAD TRAVIS | VICE PRESIDENT, CHIEF FINANCIAL OFFICER (CFO) | 6232253 |
Regulatory assets under management
| Total Number of Accounts | 41,834 |
| AUM (Assets Under Management) | $ 10,637,349,683 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
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.
