CS
Christopher B. Soltis
PKS ADVISORY SERVICES
Spring Lake, NJ
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CRD#: 4756936
CS
Professional summary
Christopher B Soltis, AIF®, CFP®, who also goes by Christopher Brian Soltis, is a registered financial advisor currently at PKS ADVISORY SERVICES, LLC located in Spring Lake, New Jersey and PURSHE KAPLAN STERLING INVESTMENTS located in Spring Lake, New Jersey.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Christopher has worked at 10 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Christopher Brian Soltis
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. Enjoy the Band, LLC - Not investment Related - 1108 New York Ave, Manasquan, NJ 08736 - Live Music Entertainment - Partner - 4/1/2002 - 20 hours/0 trading hours a month - Musician - receive payment for services related to performing. 2. Christopher B. Soltis, Author - Not investment related - 15 Devon Court, Spring Lake NG 07762 - Author - Author - 5/25/2020 - 4 hours/0 trading hours a month - marketing/sales of book - receive payment via publishing affiliates.
CRS (Client Relationship Summary) - RIA
Click below to view Christopher B Soltis'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®
Experience
Current
July 7, 2023 - Present
PKS ADVISORY SERVICES, LLC
RIA
CRD#: 125648
Spring Lake, NJ
Current
June 22, 2022 - Present
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Spring Lake, NJ
Past
December 11, 2017 - June 24, 2022
LPL FINANCIAL LLC
RIA
CRD#: 6413
SPRING LAKE, NJ
Past
December 8, 2017 - June 24, 2022
LPL FINANCIAL LLC
BD
CRD#: 6413
SPRING LAKE, NJ
Past
January 9, 2013 - September 6, 2013
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
January 9, 2013 - September 6, 2013
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
EL SEGUNDO, CA
Past
January 9, 2013 - July 8, 2016
METLIFE INVESTORS DISTRIBUTION COMPANY
BD
CRD#: 107622
NEW YORK CITY, NY
Past
March 25, 2011 - January 2, 2015
NEW ENGLAND SECURITIES
RIA
CRD#: 615
SEA GIRT, NJ
Past
March 25, 2011 - January 2, 2015
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
May 4, 2009 - December 13, 2016
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
Spring Lake, NJ
Past
April 22, 2009 - December 13, 2016
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
WALL TOWNSHIP, NJ
Past
June 9, 2006 - April 14, 2009
WOODSTOCK FINANCIAL GROUP, INC.
RIA
CRD#: 38095
MOUNTAINSIDE, NJ
Past
June 9, 2006 - April 14, 2009
WOODSTOCK FINANCIAL GROUP, INC.
BD
CRD#: 38095
MOUNTAINSIDE, NJ
Past
March 5, 2004 - January 10, 2005
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
NEWARK, DE
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".
PA
PKS ADVISORY SERVICES, LLC
49 FINANCIAL | WOODLANDS PORTFOLIO MANAGEMENT | WOEHLER FINANCIAL GROUP | WEALTHPATH INVESTMENT ADVISORS | THE O'HAGAN GROUP | STRATEGIC INVESTMENT GROUP | ROYAL HARBOR PARTNERS | ROY MATLOCK JR. ADVISORY | REID FINANCIAL | PREMIER WEALTH ADVISORY GROUP | PORTUS CAPITAL MANAGEMENT | PKS ADVISORY SERVICES, LLC | NATALE WEALTH MANAGEMENT | MELECO WEALTH MANAGEMENT | MACALUSO WEALTH MANAGEMENT GROUP | KAYE RIGGS & ASSOCIATES | J. STEAKLEY WEALTH MANAGEMENT | INTEGRATED ASSET | HERITAGE FINANCIAL GROUP | GROWE CAPITAL ADVISORS | FOREVER YOUNG WEALTH | FINDLEY ADVISORS | FINANCIAL ADVISORS OF SOUTHWEST FLORIDA | FBG ADVISORY | DAVIS BRINKS WEALTH MANAGEMENT | DAE CAPITAL STRATEGIES | CONCENTRIC ADVISORS | CAPITAL SARATOGA WEALTH MANAGEMENT | ALLEGIANT WEALTH MANAGEMENT | ALBANY ADVISOR GROUP
CRD#: 125648 / SEC#: 801-62147
RIA
Registered Investment Advisory firm - (6/20/2003 Approved)New York
Registered Investment Advisory firm - (6/20/2003 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.RR
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
RR
New Jersey(6/22/2022)
RR
New York(6/22/2022)
IAR
New York(7/7/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PA
PKS ADVISORY SERVICES, LLC
49 FINANCIAL | WOODLANDS PORTFOLIO MANAGEMENT | WOEHLER FINANCIAL GROUP | WEALTHPATH INVESTMENT ADVISORS | THE O'HAGAN GROUP | STRATEGIC INVESTMENT GROUP | ROYAL HARBOR PARTNERS | ROY MATLOCK JR. ADVISORY | REID FINANCIAL | PREMIER WEALTH ADVISORY GROUP | PORTUS CAPITAL MANAGEMENT | PKS ADVISORY SERVICES, LLC | NATALE WEALTH MANAGEMENT | MELECO WEALTH MANAGEMENT | MACALUSO WEALTH MANAGEMENT GROUP | KAYE RIGGS & ASSOCIATES | J. STEAKLEY WEALTH MANAGEMENT | INTEGRATED ASSET | HERITAGE FINANCIAL GROUP | GROWE CAPITAL ADVISORS | FOREVER YOUNG WEALTH | FINDLEY ADVISORS | FINANCIAL ADVISORS OF SOUTHWEST FLORIDA | FBG ADVISORY | DAVIS BRINKS WEALTH MANAGEMENT | DAE CAPITAL STRATEGIES | CONCENTRIC ADVISORS | CAPITAL SARATOGA WEALTH MANAGEMENT | ALLEGIANT WEALTH MANAGEMENT | ALBANY ADVISOR GROUP
CRD#: 125648 / SEC#: 801-62147
RIA
Registered Investment Advisory firm - (6/20/2003 Approved)New York
Registered Investment Advisory firm - (6/20/2003 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
80 State Street, Albany, NY 12207
Mailing Address
Phone number
(518) 426-5791
Established
Firm type
Fiscal year end
# of Employees
49
SEC notice filing (36 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,419 |
| AUM (Assets Under Management) | $ 905,367,391 |
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.
