Christopher R. Moyer

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CRD#: 5104043

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 Robert Moyer, who also goes by Chris Robert Moyer, was a registered financial professional .

Christopher is a previously registered financial professional and started their career in finance in 2009. Christopher had worked at 7 firms and has passed the Series 66, Series 63, Series 65, Series 7TO, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Chris Robert Moyer

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.

ASSETMARK FINANCIAL HOLDINGS, INC. (PARENT COMPANY) - IN CONCORD, CA - INVESTMENT RELATED - EMPLOYMENT START DATE 04/2022 - 160 HRS / MONTHLY, ENGAGEMENT CONSULTANT OF ASSETMARK, INC. - A REGISTERED INVESTMENT ADVISER - IN CONCORD CA - AFFILIATE OF ASSETMARK BROKERAGE, LLC. - INVESTMENT RELATED.

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

March 17, 2025 - October 15, 2025

ROCKY MOUNTAIN PRIVATE WEALTH MANAGEMENT, L.L.C.

RIA

CRD#: 127140

Scottsdale, AZ

Past

September 13, 2022 - April 11, 2023

ASSETMARK, INC.

RIA

CRD#: 109018

Phoenix, AZ

Past

June 1, 2022 - April 11, 2023

ASSETMARK BROKERAGE, LLC

CRD#: 169804

Phoenix, AZ

Past

December 14, 2020 - July 19, 2021

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

CRD#: 30107

Scottsdale, AZ

Past

December 10, 2014 - December 8, 2016

DORSEY, WRIGHT & ASSOCIATES, LLC

RIA

CRD#: 104925

PASADENA, CA

Past

January 5, 2012 - April 9, 2012

FOREFRONT CAPITAL MARKETS LLC

CRD#: 151812

NEW YORK, NY

Past

January 14, 2009 - January 7, 2010

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

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".

ROCKY MOUNTAIN PRIVATE WEALTH MANAGEMENT, L.L.C.

ROCKY MOUNTAIN PRIVATE MANAGEMENT, L.L.C. | ROCKY MOUNTAIN PRIVATE WEALTH MANAGEMENT, L.L.C.

CRD#: 127140 / SEC#: 801-126829

RIA

Registered Investment Advisory firm - (11/3/2022 Approved)

Texas

Registered Investment Advisory firm - (12/2/2022 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.

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: 8/26/2022

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/28/2020

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/10/2014

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/14/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/7/2020

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 1/16/2010

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 1/13/2009

General Securities Representative Examination

Current Firm

ROCKY MOUNTAIN PRIVATE WEALTH MANAGEMENT, L.L.C.

ROCKY MOUNTAIN PRIVATE MANAGEMENT, L.L.C. | ROCKY MOUNTAIN PRIVATE WEALTH MANAGEMENT, L.L.C.

CRD#: 127140 / SEC#: 801-126829

RIA

Registered Investment Advisory firm - (11/3/2022 Approved)

Texas

Registered Investment Advisory firm - (12/2/2022 Terminated)

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Contact information

Main Address

Town Center 2245 Texas Drive, Suite 300, Sugar Land, TX 77479

Mailing Address

9119 Highway 6 Suite 230, Unit 304, Missouri City, TX 77459

Phone number

(281) 778-4900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 BROCHURE & SUPPLEMENT (3/19/2025)

Regulatory assets under management

Total Number of Accounts	7
AUM (Assets Under Management)	$ 64,132,914

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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Firm Stability Insights

Christopher R. Moyer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ASSETMARK, INC.

ASSETMARK BROKERAGE, LLC

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

DORSEY, WRIGHT & ASSOCIATES, LLC

FOREFRONT CAPITAL MARKETS LLC

RBC CAPITAL MARKETS, LLC

Primary Firm SEC Registration

ROCKY MOUNTAIN PRIVATE WEALTH MANAGEMENT, L.L.C.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/26/2022

Series 63

Date: 12/28/2020

Series 65

Date: 12/10/2014

Series 7TO

Date: 12/14/2020

SIE

Date: 10/7/2020

Series 3

Date: 1/16/2010

Series 7

Date: 1/13/2009

Current Firm

ROCKY MOUNTAIN PRIVATE WEALTH MANAGEMENT, L.L.C.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ROCKY MOUNTAIN PRIVATE WEALTH MANAGEMENT, L.L.C.

TRUST BUT VERIFY

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