CL
Christopher R. Lakumb
RIVERNORTH CAPITAL MANAGEMENT
Vancouver, WA
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CRD#: 5284868
CL
Professional summary
Christopher Ramesh Lakumb is a registered financial advisor currently at RIVERNORTH CAPITAL MANAGEMENT, LLC located in Vancouver, Washington and ALPS DISTRIBUTORS, INC. located in West Palm Beach, Florida.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Christopher has worked at 7 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. RIVERNORTH CAPITAL MANAGEMENT, INVESTMENT-RELATED, 360 S. ROSEMARY AVENUE SUITE 1420 WEST PALM BEACH, FL 33401, INVESTMENT ADVISORY. PORTFOLIO SPECIALIST AND DUTIES INCLUDE LIASON BETWEEN PORTFOLIO MANAGERS AND CLIENTS. 160 HRS/MON, 130 HRS/MON DURING TRADING HRS. 2. CRL RETIREMENT, LLCADDRESS ON FILE, MANAGER WHO DIRECTS INVESTMENTS OF LLC FOR PERSONAL IRA, 1HR/MON, 1 HR/MON DURING TRADING HOURS. 3. JCFA Industries, LLC; Not Investment-Related; Address on File; Children's Book Sales; Manager; 04/19/2023; 1 HR/MON; None During Trading Hours.
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Ramesh Lakumb'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
October 22, 2013 - Present
RIVERNORTH CAPITAL MANAGEMENT, LLC
RIA
CRD#: 122020
Vancouver, WA
Current
September 30, 2013 - Present
ALPS DISTRIBUTORS, INC.
Office #1: 360 South Rosemary Avenue Suite 1420, West Palm Beach, FL 33401BD
CRD#: 16853
West Palm Beach, FL
Past
October 5, 2012 - September 9, 2013
EVERBANK WEALTH MANAGEMENT
RIA
CRD#: 154237
SANTA ROSA, CA
Past
October 5, 2012 - September 9, 2013
EVERTRADE DIRECT BROKERAGE, INC.
BD
CRD#: 47388
ST. LOUIS, MO
Past
February 7, 2012 - November 5, 2012
INDEPENDENT FINANCIAL PARTNERS
RIA
CRD#: 125112
NORTH BROOK, IL
Past
February 6, 2012 - October 22, 2012
LPL FINANCIAL LLC
BD
CRD#: 6413
NORTHBROOK, IL
Past
May 18, 2011 - February 10, 2012
ALPS DISTRIBUTORS, INC.
BD
CRD#: 16853
DENVER, CO
Past
July 6, 2009 - February 6, 2012
RIVERNORTH CAPITAL MANAGEMENT, LLC
RIA
CRD#: 122020
CHICAGO, IL
Past
February 23, 2007 - June 30, 2009
INTEROCEAN WEALTH MANAGEMENT LLC
RIA
CRD#: 140456
CHICAGO, IL
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".
RC
RIVERNORTH CAPITAL MANAGEMENT, LLC
PINNACLE FUND MANAGEMENT, INC. | RIVERNORTH CAPITAL MANAGEMENT, LLC | RIVERNORTH CAPITAL MANAGEMENT, INC.
CRD#: 122020 / SEC#: 801-61533
RIA
Registered Investment Advisory firm - (10/15/2002 Approved)Illinois
Registered Investment Advisory firm - (10/15/2002 Terminated)Indiana
Registered Investment Advisory firm - (10/2/2003 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
Alabama(10/7/2013)
RR
Alaska(10/7/2013)
RR
Arizona(10/8/2013)
RR
Arkansas(10/8/2013)
RR
California(9/30/2013)
RR
Colorado(10/1/2013)
RR
Connecticut(10/1/2013)
RR
Delaware(10/8/2013)
RR
District of Columbia(10/8/2013)
RR
Florida(10/8/2013)
RR
Georgia(10/7/2013)
RR
Hawaii(10/16/2013)
RR
Idaho(10/1/2013)
RR
Illinois(9/30/2013)
IAR
Illinois(10/22/2013)
RR
Indiana(10/10/2013)
RR
Iowa(10/4/2013)
RR
Kansas(10/2/2013)
RR
Kentucky(10/2/2013)
RR
Louisiana(10/7/2013)
RR
Maine(10/3/2013)
RR
Maryland(10/2/2013)
RR
Massachusetts(10/25/2013)
RR
Michigan(10/7/2013)
RR
Minnesota(10/7/2013)
RR
Mississippi(10/10/2013)
RR
Missouri(10/1/2013)
RR
Montana(10/7/2013)
RR
Nebraska(10/1/2013)
RR
Nevada(10/3/2013)
RR
New Hampshire(10/1/2013)
RR
New Jersey(10/1/2013)
RR
New Mexico(10/7/2013)
RR
New York(10/8/2013)
RR
North Carolina(10/1/2013)
RR
North Dakota(10/2/2013)
RR
Ohio(10/1/2013)
RR
Oklahoma(10/1/2013)
RR
Oregon(9/30/2013)
RR
Pennsylvania(10/1/2013)
RR
Puerto Rico(10/2/2013)
RR
Rhode Island(10/1/2013)
RR
South Carolina(10/1/2013)
RR
South Dakota(10/4/2013)
RR
Tennessee(10/9/2013)
RR
Texas(10/9/2013)
RR
Utah(10/1/2013)
RR
Vermont(10/2/2013)
RR
Virgin Islands(10/7/2013)
RR
Virginia(10/1/2013)
RR
Washington(9/30/2013)
RR
West Virginia(10/7/2013)
RR
Wisconsin(9/30/2013)
RR
Wyoming(9/30/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RC
RIVERNORTH CAPITAL MANAGEMENT, LLC
PINNACLE FUND MANAGEMENT, INC. | RIVERNORTH CAPITAL MANAGEMENT, LLC | RIVERNORTH CAPITAL MANAGEMENT, INC.
CRD#: 122020 / SEC#: 801-61533
RIA
Registered Investment Advisory firm - (10/15/2002 Approved)Illinois
Registered Investment Advisory firm - (10/15/2002 Terminated)Indiana
Registered Investment Advisory firm - (10/2/2003 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
360 S. Rosemary Ave Suite 1420, West Palm Beach, FL 33401
Mailing Address
Phone number
(561) 484-7185
Established
Firm type
Fiscal year end
# of Employees
19
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 30 |
| AUM (Assets Under Management) | $ 6,181,636,447 |
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.
