Christopher Mcnesby

PWA FINANCIAL

Newtown, PA 18940

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CRD#: 4458026

Professional summary

Christopher Mcnesby, CFP® is a registered financial advisor currently at PWA FINANCIAL located in Newtown, Pennsylvania and PRIVATE CLIENT SERVICES, LLC located in Newtown, Pennsylvania.

Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Christopher has worked at 5 firms and has passed the Series 66, SIE 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.

1) INSURANCE. 503 WASHINGTON AVE, LIFE INSURANCE. LIFE INSURANCE SALES. 10 HRS/MO; 1 DURING TRADING HRS. 2) PWA FINANCIAL. 503 WASHINGTON AVE. OUTSIDE RIA. FINANCIAL ADVISOR. 120 HRS/MO; 4 DURING TRADING HRS. 3) ROA. 503 E. WASHINGTON AVE, NEWTON, PA. RIA. CFP. 80 HRS/MO; 40 DURING TRADING HRS. 4) CMC WEALTH PARTNERS. 503 WASHINGTON AVE, NEWTON, PA. FINANCIAL ADVISORY. 100 HRS/MO; 4 DURING TRADING HRS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Mcnesby'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®

CFP^®

Certified Financial Planner

Start date: 2006

Experience

Current

January 3, 2020 - Present

PWA FINANCIAL

Office #1: 503 E Washington Ave. Suite 1b, Newtown, PA 18940

RIA

CRD#: 165369

Newtown, PA

Current

November 25, 2019 - Present

PRIVATE CLIENT SERVICES, LLC

Office #1: 503 E Washington Ave, Newtown, PA 18940

RIA

CRD#: 120222

Newtown, PA

Past

September 1, 2016 - November 19, 2019

GROVE POINT INVESTMENTS, LLC

RIA

CRD#: 1763

Flourtown, PA

Past

September 1, 2016 - November 19, 2019

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

Flourtown, PA

Past

July 26, 2007 - September 14, 2016

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

PHILADELPHIA, PA

Past

February 23, 2007 - September 14, 2016

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

PHILADELPHIA, PA

Past

November 27, 2001 - March 7, 2007

UBS FINANCIAL SERVICES INC.

CRD#: 8174

PHILADELPHIA, PA

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".

PWA FINANCIAL

PENN WEALTH ADVISORS LLC | PWA FINANCIAL | PENN WEALTH ADVISORS, LLC

CRD#: 165369 / SEC#: 801-119127

RIA

Registered Investment Advisory firm - (8/17/2020 Approved)

Florida

Registered Investment Advisory firm - (9/4/2020 Terminated)

New Jersey

Registered Investment Advisory firm - (11/19/2020 Terminated)

New York

Registered Investment Advisory firm - (9/4/2020 Terminated)

Pennsylvania

Registered Investment Advisory firm - (9/4/2020 Terminated)

Texas

Registered Investment Advisory firm - (9/4/2020 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Delaware
(1/3/2023)

Florida
(11/25/2019)

IAR

Florida
(1/30/2020)

IAR

New Jersey
(1/3/2020)

New Jersey
(1/19/2023)

IAR

Pennsylvania
(1/3/2020)

Pennsylvania
(1/6/2023)

IAR

Texas
(10/13/2020)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/13/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/26/2001

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

PWA FINANCIAL

PENN WEALTH ADVISORS LLC | PWA FINANCIAL | PENN WEALTH ADVISORS, LLC

CRD#: 165369 / SEC#: 801-119127

RIA

Registered Investment Advisory firm - (8/17/2020 Approved)

Florida

Registered Investment Advisory firm - (9/4/2020 Terminated)

New Jersey

Registered Investment Advisory firm - (11/19/2020 Terminated)

New York

Registered Investment Advisory firm - (9/4/2020 Terminated)

Pennsylvania

Registered Investment Advisory firm - (9/4/2020 Terminated)

Texas

Registered Investment Advisory firm - (9/4/2020 Terminated)

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Contact information

Main Address

503 E Washington Ave. Suite 1b, Newtown, PA 18940

Mailing Address

Phone number

(215) 710-0737

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (1/28/2025)

Regulatory assets under management

Total Number of Accounts	1,012
AUM (Assets Under Management)	$ 267,948,771

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 Mcnesby

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Mcnesby's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRIVATE CLIENT SERVICES, LLC

GROVE POINT INVESTMENTS, LLC

GROVE POINT INVESTMENTS, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

PWA FINANCIAL

State Registrations and Notice Filings

Exams

Series 66

Date: 12/13/2001

SIE

Date: 10/1/2018

Series 7

Date: 11/26/2001

FINRA

Current Firm

PWA FINANCIAL

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PWA FINANCIAL

TRUST BUT VERIFY

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