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Chris M. Frantz

CATALINA CAPITAL GROUP
Torrance, CA 90505
Some features on this profile are disabled
CRD#: 5283015
CF

Professional summary

Chris Matthew Frantz, who also goes by Chris Frantz, Christopher Frantz, is a registered financial advisor currently at CATALINA CAPITAL GROUP, LLC located in Torrance, California.

Chris is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Chris has worked at 4 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Chris Frantz | Christopher Frantz

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. Frantz Holdings; Owner; Investment Related; 2601 Airport Drive, Suite 375 Torrance CA 90505; Real Estate Investing and asset management; Selection of real estate investments and management of assets; Start date with business: 2025-03-24; Hours per month devoted to business during trading hours: 5; Hours per month devoted to business outside trading hours: 5; Percentage of total yearly compensation expected to be derived from the business: 5.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Chris Matthew Frantz'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®
None

Experience

Current

September 19, 2014 - Present

CATALINA CAPITAL GROUP, LLC

Office #1: 2601 Airport Drive Suite 375, Torrance, CA 90505
RIA
CRD#: 172556
Torrance, CA
Past

November 5, 2012 - December 31, 2014

DANIEL WEALTH ADVISORS

RIA
CRD#: 150382
CORONA DEL MAR, CA
Past

June 1, 2009 - November 15, 2012

MORGAN STANLEY

RIA
CRD#: 149777
LOS ANGELES, CA
Past

June 1, 2009 - November 15, 2012

MORGAN STANLEY

BD
CRD#: 149777
LOS ANGELES, CA
Past

November 2, 2007 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
LA JOLLA, CA
Past

May 1, 2007 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
LA JOLLA, CA

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".
CC
CATALINA CAPITAL GROUP, LLC
CATALINA CAPITAL GROUP, LLC | SMART HARVEST SOLUTIONS | FINOGY

CRD#: 172556 / SEC#: 801-110269

RIA
Registered Investment Advisory firm - (4/13/2017 Approved)
California
Registered Investment Advisory firm - (7/12/2017 Terminated)
Florida
Registered Investment Advisory firm - (6/12/2017 Terminated)
Texas
Registered Investment Advisory firm - (6/12/2017 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
California
(9/19/2014)
IAR
Texas
(7/21/2017)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/29/2007
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/3/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 31
Date: 12/13/2007
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 4/30/2007
General Securities Representative Examination

Current Firm

CC
CATALINA CAPITAL GROUP, LLC
CATALINA CAPITAL GROUP, LLC | SMART HARVEST SOLUTIONS | FINOGY

CRD#: 172556 / SEC#: 801-110269

RIA
Registered Investment Advisory firm - (4/13/2017 Approved)
California
Registered Investment Advisory firm - (7/12/2017 Terminated)
Florida
Registered Investment Advisory firm - (6/12/2017 Terminated)
Texas
Registered Investment Advisory firm - (6/12/2017 Terminated)
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Contact information

Main Address
2601 Airport Drive Suite 375, Torrance, CA 90505
Mailing Address
Phone number
(310) 540-5544
Established
Firm type
Fiscal year end
# of Employees
3

SEC notice filing (6 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

ADV PART 2A: DISCLOSURE BROCHURE (3/4/2025)

Regulatory assets under management

Total Number of Accounts740
AUM (Assets Under Management)$ 766,877,957

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

CATALINA CAPITAL GROUP, LLC

CRD#: 172556Torrance, CA 90505

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