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Christopher B. Hooker

Some features on this profile are disabled
CRD#: 5100296
CH

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 B Hooker, who also goes by Christopher Bryan Hooker, was a registered financial professional .

Christopher is a previously registered financial professional and started their career in finance in 2006. Christopher had worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Christopher Bryan Hooker

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.
The advisor shows no other business activity.

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®
None

Experience

Past

May 22, 2014 - March 30, 2015

ALIGHT FINANCIAL ADVISORS, LLC

RIA
CRD#: 158744
CHARLOTTE, NC
Past

May 22, 2014 - March 30, 2015

ALIGHT FINANCIAL SOLUTIONS, LLC

BD
CRD#: 36509
CHARLOTTE, NC
Past

October 9, 2013 - October 16, 2013

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
CHARLOTTE, NC
Past

October 13, 2009 - November 16, 2009

ADHESION WEALTH ADVISOR SOLUTIONS

RIA
CRD#: 143593
CHARLOTTE, NC
Past

April 24, 2007 - December 11, 2007

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
CHARLOTTE, NC
Past

April 24, 2007 - December 11, 2007

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
CHARLOTTE, NC
Past

January 3, 2007 - March 29, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
CHARLOTTE, NC
Past

January 3, 2007 - March 29, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
CHARLOTTE, NC
Past

June 26, 2006 - September 18, 2006

THRIVENT INVESTMENT MANAGEMENT INC.

RIA
CRD#: 18387
RALEIGH, NC
Past

June 23, 2006 - September 18, 2006

THRIVENT INVESTMENT MANAGEMENT INC.

BD
CRD#: 18387
RALEIGH, NC
Past

March 21, 2006 - April 21, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
RALEIGH, NC
Past

March 10, 2006 - April 21, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
RALEIGH, NC

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".
AF
ALIGHT FINANCIAL ADVISORS, LLC
ALIGHT FINANCIAL ADVISORS, LLC | AON HEWITT FINANCIAL ADVISORS, LLC | AON HEWITT FINANCIAL ADVISORS LLC

CRD#: 158744 / SEC#: 801-72679

RIA
Registered Investment Advisory firm - (9/13/2011 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.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/20/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/30/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/9/2013
General Securities Representative Examination

Current Firm

AF
ALIGHT FINANCIAL ADVISORS, LLC
ALIGHT FINANCIAL ADVISORS, LLC | AON HEWITT FINANCIAL ADVISORS, LLC | AON HEWITT FINANCIAL ADVISORS LLC

CRD#: 158744 / SEC#: 801-72679

RIA
Registered Investment Advisory firm - (9/13/2011 Approved)
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Contact information

Main Address
9335 Harris Corners Parkway Suite 150, Charlotte, NC 28269
Mailing Address
Phone number
(866) 560-7256
Established
Firm type
Fiscal year end
# of Employees
60

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

AFA ALIGHT IRA ADV PART 2A 2B 03.12.25 (3/31/2025)
AFA PROFESSIONAL MANAGEMENT ADV PART 2A 2B 3.12.25 (3/31/2025)

Regulatory assets under management

Total Number of Accounts197,089
AUM (Assets Under Management)$ 30,882,928,556

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.

Company Information

ALIGHT FINANCIAL ADVISORS, LLC

CRD#: 158744

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