Chris J. Lorenzen

LIG CAPITAL MANAGEMENT

Oklahoma City, OK 73116-2203

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CRD#: 4154864

Professional summary

Chris James Lorenzen is a registered financial advisor currently at LIG CAPITAL MANAGEMENT, LLC located in Oklahoma City, Oklahoma.

Chris is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Chris has worked at 5 firms and has passed the Series 65, Series 63 and Series 7 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.

CLK Investments Inc, Non-Investment Related S-Corp, 8220 NW 152nd Terrace Edmond, OK 73013, Start Date 01/2004, President, 1-2 hours per month, 0 hours per month during trading hours, General Business Administrative Duties.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Chris James Lorenzen'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

August 2, 2004 - Present

LIG CAPITAL MANAGEMENT, LLC

Office #1: 3503 N.w. 63rd Street Suite 100, Oklahoma City, OK 73116-2203

RIA

CRD#: 130489

Oklahoma City, OK

Past

April 26, 2007 - December 16, 2010

COMPASS WEALTH MANAGEMENT, LLC

RIA

CRD#: 138192

OKLAHOMA CITY, OK

Past

January 26, 2005 - April 12, 2010

T.S. PHILLIPS INVESTMENTS, INC.

CRD#: 124348

OKLAHOMA CITY, OK

Past

October 21, 2003 - December 31, 2004

PHILLIPS CAPITAL ADVISORS, INC.

RIA

CRD#: 115758

OKLAHOMA CITY, OK

Past

October 17, 2003 - December 31, 2004

T.S. PHILLIPS INVESTMENTS, INC.

CRD#: 124348

OKLAHOMA CITY, OK

Past

September 19, 2000 - November 7, 2003

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

OKLAHOMA CITY, OK

Past

March 30, 2000 - November 7, 2003

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

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".

LIG CAPITAL MANAGEMENT, LLC

CRD#: 130489 / SEC#: 801-125846

RIA

Registered Investment Advisory firm - (6/10/2022 Approved)

Oklahoma

Registered Investment Advisory firm - (6/23/2022 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

Oklahoma
(8/2/2004)

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: 8/25/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/23/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/29/2000

General Securities Representative Examination

Current Firm

LIG CAPITAL MANAGEMENT, LLC

CRD#: 130489 / SEC#: 801-125846

RIA

Registered Investment Advisory firm - (6/10/2022 Approved)

Oklahoma

Registered Investment Advisory firm - (6/23/2022 Terminated)

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Contact information

Main Address

3503 N.w. 63rd Street Suite 100, Oklahoma City, OK 73116-2203

Mailing Address

Phone number

(405) 463-3334

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FINAL - LIG ADV 2 (20250616) (7/17/2025)

Regulatory assets under management

Total Number of Accounts	692
AUM (Assets Under Management)	$ 196,764,050

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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Chris J. Lorenzen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Chris James Lorenzen's CRS (Customer Relationship Summary).

Certified licenses

Experience

COMPASS WEALTH MANAGEMENT, LLC

T.S. PHILLIPS INVESTMENTS, INC.

PHILLIPS CAPITAL ADVISORS, INC.

T.S. PHILLIPS INVESTMENTS, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

LIG CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/25/2000

Series 63

Date: 6/23/2000

Series 7

Date: 3/29/2000

Current Firm

LIG CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LIG CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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