Christopher J. Mortimer

VEST FINANCIAL LLC

CHARLESTON, SC

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CRD#: 5374562

Professional summary

Christopher James Mortimer, who also goes by Christopher Mortimer, is a registered financial advisor currently at VEST FINANCIAL LLC located in Charleston, South Carolina and VEST SECURITIES, LLC located in Mclean, Virginia.

Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Christopher has worked at 6 firms and has passed the Series 66, Series 3, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Christopher Mortimer

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) Vest Financial LLC; Investment Advisory firm; 1765 Greensboro Station; Place Tower 1, 9th Floor; McLean, VA 22102; Senior VP, Business Development; Start date 07/2015; Approximately 160 hrs per month; 40 hours/week during security trading hours; Duties: reaching out to prospects (financial advisors, RIA's, and family offices) and maintaining relationships to raise awareness of Vest Financial's investment strategies. Compensated through salary and bonus tied to overall growth of business.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher James Mortimer'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

July 31, 2015 - Present

VEST FINANCIAL LLC

RIA

CRD#: 165976

CHARLESTON, SC

Current

June 30, 2022 - Present

VEST SECURITIES, LLC

Office #1: 8350 Broad Street Suite 240, Mclean, VA 22101

CRD#: 317379

Mclean, VA

Past

September 16, 2016 - June 30, 2022

FIRST DOMINION CAPITAL CORP.

CRD#: 16330

RICHMOND, VA

Past

June 5, 2012 - July 10, 2015

PROSHARE ADVISORS LLC

RIA

CRD#: 134155

BETHESDA, MD

Past

December 2, 2011 - July 10, 2015

PROFUNDS DISTRIBUTORS, INC.

CRD#: 19541

BETHESDA, MD

Past

November 24, 2008 - November 28, 2011

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

BETHESDA, MD

Past

November 10, 2008 - November 28, 2011

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

BETHESDA, MD

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".

VEST FINANCIAL LLC

CBOE VEST FINANCIAL LLC | VEST FINANCIAL LLC | VEST | CONVEXCEL ASSET MANAGEMENT LLC | CONVEXCEL

CRD#: 165976 / SEC#: 801-77463

RIA

Registered Investment Advisory firm - (1/3/2013 Approved)

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.

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

District of Columbia
(8/9/2022)

Illinois
(9/14/2022)

Maryland
(7/28/2022)

South Carolina
(11/17/2022)

IAR

South Carolina
(9/13/2024)

IAR

Virginia
(7/31/2015)

Virginia
(6/30/2022)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/21/2008

Uniform Combined State Law Examination

General Industry/Product Exam

Series 3

Date: 10/29/2021

National Commodity Futures Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/7/2008

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

VEST FINANCIAL LLC

CBOE VEST FINANCIAL LLC | VEST FINANCIAL LLC | VEST | CONVEXCEL ASSET MANAGEMENT LLC | CONVEXCEL

CRD#: 165976 / SEC#: 801-77463

RIA

Registered Investment Advisory firm - (1/3/2013 Approved)

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Contact information

Main Address

8350 Broad St Suite 240, Mclean, VA 22102-5150

Mailing Address

Phone number

(855) 979-6060

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (9/5/2025)

Regulatory assets under management

Total Number of Accounts	145
AUM (Assets Under Management)	$ 39,304,330,239

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 J. Mortimer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher James Mortimer's CRS (Customer Relationship Summary).

Certified licenses

Experience

VEST SECURITIES, LLC

FIRST DOMINION CAPITAL CORP.

PROSHARE ADVISORS LLC

PROFUNDS DISTRIBUTORS, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

VEST FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/21/2008

Series 3

Date: 10/29/2021

SIE

Date: 10/1/2018

Series 7

Date: 11/7/2008

FINRA

Current Firm

VEST FINANCIAL LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VEST FINANCIAL LLC

TRUST BUT VERIFY

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