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CW

Christopher P. Wynne

Some features on this profile are disabled
CRD#: 4055280
CW

Professional summary

Christopher Paul Wynne 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 1999. Prior to being barred, Christopher had worked at 9 firms, which includes NEWPORT COAST SECURITIES INC., ARISTON WEALTH MANAGEMENT L.P., WINDSOR STREET CAPITAL LP, ANDERSON & STRUDWICK INCORPORATED, JESUP & LAMONT SECURITIES CORP, GARDEN STATE SECURITIES INC., STIFEL NICOLAUS & COMPANY INCORPORATED, AUERBACH POLLAK & RICHARDSON INC., AMERICAN FRONTEER FINANCIAL CORPORATION.

Question & Answer

Are you a "fiduciary"?
No

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.
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

April 19, 2013 - February 26, 2016

NEWPORT COAST SECURITIES, INC.

RIA
CRD#: 16944
CHICAGO, IL
Past

April 17, 2013 - February 26, 2016

NEWPORT COAST SECURITIES, INC.

BD
CRD#: 16944
CHICAGO, IL
Past

October 15, 2012 - May 14, 2013

ARISTON WEALTH MANAGEMENT, L.P.

RIA
CRD#: 158220
CHICAGO, IL
Past

November 30, 2011 - May 14, 2013

WINDSOR STREET CAPITAL, LP

BD
CRD#: 34171
CHICAGO, IL
Past

July 1, 2010 - December 1, 2011

ANDERSON & STRUDWICK, INCORPORATED

BD
CRD#: 48
CHICAGO, IL
Past

November 18, 2009 - July 8, 2010

JESUP & LAMONT SECURITIES CORP

BD
CRD#: 39056
CHICAGO, IL
Past

May 13, 2005 - November 18, 2009

GARDEN STATE SECURITIES, INC.

BD
CRD#: 10083
CHICAGO, IL
Past

March 8, 2001 - May 17, 2005

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
ST. LOUIS, MO
Past

December 19, 2000 - March 28, 2001

AUERBACH, POLLAK & RICHARDSON INC.

BD
CRD#: 29824
STAMFORD, CT
Past

November 3, 1999 - December 19, 2000

AMERICAN FRONTEER FINANCIAL CORPORATION

BD
CRD#: 1398
DENVER, CO

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: 9/24/2012
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/8/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 2/26/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/2/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/15/2005
General Securities Principal Examination

Current Firm

NC
NEWPORT COAST SECURITIES, INC.
GRANT BETTINGEN, INC. | NEWPORT COAST SECURITIES, INC. | NEWPORT COAST SECURITIES | NEWPORT COAST ASSET MANAGEMENT

CRD#: 16944 / SEC#: 801-67802, 8-34790

BD
Terminated by SEC on 10/02/2016
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
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Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1720 Garry Ave. #108, Santa Ana, CA 92705
Mailing Address
Phone number
Established
California since 03/06/1985
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

PART 2A (3/18/2016)

Direct owners and executive officers

NamePositionCRD#
RUBICON FINANCIAL INCORPORATEDOWNER
KESSLER, KRISTOPHER CHARLESCOO4543640
LEE, KEVIN CHONGCHIEF COMPLIANCE OFFICER3143283
ONESTO, RICHARD ERNESTFINOP/CFO2453096
ONESTO, RICHARD ERNESTCEO2453096

Disclosures

Regulatory Event12
Arbitration7

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

NEWPORT COAST SECURITIES, INC.

CRD#: 16944

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