Christopher W. Shipman

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CRD#: 4195488

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 William Shipman, CFP®, who also goes by Chris Shipman, was a registered financial professional .

Christopher is a previously registered financial professional and started their career in finance in 2000. Christopher had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Chris Shipman

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) Cap Asset Management, LLC; 157 Wills Way, Blanco, TX 78606; 0 Hours per month or year is dedicated to this LLC; Director, It is a single owner LLC (Me); Originally LLC was opened to provide investment advise to Non-Profit organizations, but no clients were ever acquired. LLC is now only open to hold personal Real Estate, but no RE holds are in LLC. LLC was established in 2019 and as of 2023, no intention to hold clients or solicit business.

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®

CFP^®

Certified Financial Planner

Experience

Past

January 18, 2023 - December 19, 2024

FROST INVESTMENT SERVICES

RIA

CRD#: 286129

SAN ANTONIO, TX

Past

January 18, 2023 - December 19, 2024

FROST BROKERAGE SERVICES, INC.

CRD#: 17465

SAN ANTONIO, TX

Past

March 7, 2019 - July 22, 2022

CU INVESTMENT SOLUTIONS LLC

CRD#: 43753

PLANO, TX

Past

October 25, 2007 - March 9, 2017

1ST GLOBAL ADVISORS INC

RIA

CRD#: 111133

DALLAS, TX

Past

July 5, 2007 - March 9, 2017

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

DALLAS, TX

Past

October 24, 2005 - February 27, 2007

CITICORP INVESTMENT SERVICES

CRD#: 23988

ODESSA, TX

Past

July 6, 2005 - September 15, 2005

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

February 21, 2003 - July 6, 2005

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

July 19, 2000 - February 21, 2003

COMMONWEALTH CHURCH FINANCE, INC.

CRD#: 11768

MCDONOUGH, 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".

FROST INVESTMENT SERVICES

FROST INVESTMENT SERVICES | FROST INVESTMENT SERVICES, LLC

CRD#: 286129 / SEC#: 801-108754

RIA

Registered Investment Advisory firm - (1/3/2017 Approved)

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

IAR

Series 66

Date: 10/11/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/1/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/9/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/18/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/24/2007

General Securities Principal Examination

Current Firm

FROST INVESTMENT SERVICES

FROST INVESTMENT SERVICES | FROST INVESTMENT SERVICES, LLC

CRD#: 286129 / SEC#: 801-108754

RIA

Registered Investment Advisory firm - (1/3/2017 Approved)

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Contact information

Main Address

111 West Houston Street, San Antonio, TX 78205

Mailing Address

Po Box 2538, San Antonio, TX 78299

Phone number

(210) 220-5000

Established

Firm type

Fiscal year end

# of Employees

177

SEC notice filing (28 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIS FORM ADV PART 2A 2025 (3/27/2025)

Regulatory assets under management

Total Number of Accounts	3,179
AUM (Assets Under Management)	$ 2,976,654,932

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/10/2024	Cover Page	Report
11/27/2023	Cover Page	Report
12/21/2022	Cover Page	Report

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 W. Shipman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FROST BROKERAGE SERVICES, INC.

CU INVESTMENT SOLUTIONS LLC

1ST GLOBAL ADVISORS INC

1ST GLOBAL CAPITAL CORP.

CITICORP INVESTMENT SERVICES

CHASE INVESTMENT SERVICES CORP.

BANC ONE SECURITIES CORPORATION

COMMONWEALTH CHURCH FINANCE, INC.

Primary Firm SEC Registration

FROST INVESTMENT SERVICES

State Registrations and Notice Filings

Exams

Series 66

Date: 10/11/2007

Series 63

Date: 8/1/2000

SIE

Date: 3/9/2017

Series 7

Date: 7/18/2000

Series 24

Date: 8/24/2007

Current Firm

FROST INVESTMENT SERVICES

Contact information

SEC notice filing (28 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FROST INVESTMENT SERVICES

TRUST BUT VERIFY

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