CW
Christopher L. Warber
REGAL INVESTMENT ADVISORS LLC
GREEN BAY, WI 54304
Some features on this profile are disabled
CRD#: 4718073
CW
Professional summary
Christopher Lee Warber, who also goes by Chris Lee Warber, is a registered financial advisor currently at REGAL INVESTMENT ADVISORS LLC located in Green Bay, Wisconsin.
Christopher is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Christopher has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chris Lee Warber
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. WARBER, LLC: MANAGING MEMBER SINCE 08/03/2012; SERVICE COMPANY FOR BUSINESS EXPENSES AND TAX PURPOSES FOR MY FINANCIAL SERVICES PRACTICE. NOT INVESTMENT RELATED. 2. LANDLORD; REAL ESTATE; START DATE 10/1/2013; 4 HOURS PER MONTH. NOT INVESTMENT RELATED. 3. INDEPENDENT INSURANCE AGENT, 1/31/2002, 10 HOURS PER MONTH, INVESTMENT RELATED. 4. Rental property; Greenbay, WI 54302; Not investment related; 5 hrs/month, 0 during trading; Start 1/1/2020; Keep rental in good shape and rented.
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Lee Warber's 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®
NoneExperience
Current
January 3, 2023 - Present
REGAL INVESTMENT ADVISORS LLC
Office #1: 677 Baeten Rd Suite 250, Green Bay, WI 54304RIA
CRD#: 125004
GREEN BAY, WI
Past
April 21, 2022 - December 31, 2022
ADVISORY SERVICES NETWORK
RIA
CRD#: 146051
Greenbay, WI
Past
January 17, 2018 - April 22, 2022
NAVIGEN WEALTH MANAGEMENT
RIA
CRD#: 145458
GREEN BAY, WI
Past
August 3, 2012 - January 8, 2018
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
GREEN BAY, WI
Past
August 3, 2012 - January 8, 2018
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
GREEN BAY, WI
Past
December 16, 2003 - August 7, 2012
EDWARD JONES
RIA
CRD#: 250
GREEN BAY, WI
Past
December 9, 2003 - August 7, 2012
EDWARD JONES
BD
CRD#: 250
GREEN BAY, WI
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".
RI
REGAL INVESTMENT ADVISORS LLC
DURAND CAPITAL PARTNERS, LLC | REGAL INVESTMENT ADVISORS LLC | REGAL FINANCIAL GROUP LLC | REGAL FINANCIAL GROUP | REGAL FINANCIAL ADVISORS | REGAL FAMILY OFFICE | REGAL CHARITABLE, LLC | LIONSHARE
CRD#: 125004 / SEC#: 801-71923
RIA
Registered Investment Advisory firm - (10/19/2010 Approved)Alaska
Registered Investment Advisory firm - (10/21/2010 Terminated)Florida
Registered Investment Advisory firm - (10/21/2010 Terminated)Indiana
Registered Investment Advisory firm - (10/21/2010 Terminated)Michigan
Registered Investment Advisory firm - (11/1/2010 Terminated)Minnesota
Registered Investment Advisory firm - (10/22/2010 Terminated)Nebraska
Registered Investment Advisory firm - (10/21/2010 Terminated)North Carolina
Registered Investment Advisory firm - (10/21/2010 Terminated)Ohio
Registered Investment Advisory firm - (10/21/2010 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/22/2010 Terminated)South Carolina
Registered Investment Advisory firm - (10/21/2010 Terminated)South Dakota
Registered Investment Advisory firm - (10/21/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (10/21/2010 Terminated)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
Texas(1/3/2023)
IAR
Wisconsin(1/3/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
RI
REGAL INVESTMENT ADVISORS LLC
DURAND CAPITAL PARTNERS, LLC | REGAL INVESTMENT ADVISORS LLC | REGAL FINANCIAL GROUP LLC | REGAL FINANCIAL GROUP | REGAL FINANCIAL ADVISORS | REGAL FAMILY OFFICE | REGAL CHARITABLE, LLC | LIONSHARE
CRD#: 125004 / SEC#: 801-71923
RIA
Registered Investment Advisory firm - (10/19/2010 Approved)Alaska
Registered Investment Advisory firm - (10/21/2010 Terminated)Florida
Registered Investment Advisory firm - (10/21/2010 Terminated)Indiana
Registered Investment Advisory firm - (10/21/2010 Terminated)Michigan
Registered Investment Advisory firm - (11/1/2010 Terminated)Minnesota
Registered Investment Advisory firm - (10/22/2010 Terminated)Nebraska
Registered Investment Advisory firm - (10/21/2010 Terminated)North Carolina
Registered Investment Advisory firm - (10/21/2010 Terminated)Ohio
Registered Investment Advisory firm - (10/21/2010 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/22/2010 Terminated)South Carolina
Registered Investment Advisory firm - (10/21/2010 Terminated)South Dakota
Registered Investment Advisory firm - (10/21/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (10/21/2010 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2687 44th Street Se, Kentwood, MI 49512
Mailing Address
Phone number
(616) 224-2204
Established
Firm type
Fiscal year end
# of Employees
118
SEC notice filing (50 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,303 |
| AUM (Assets Under Management) | $ 2,447,941,075 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/06/2023 | ||
| 12/06/2023 | ||
| 12/06/2023 |
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.
