Christopher L. Banks

LEGACY WEALTH MANAGEMENT

CHARLOTTE, NC 28246

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CRD#: 5386885

Professional summary

Christopher Lee Banks, who also goes by Christopher L Banks, Christopher Banks, Christopher Lee Banks, is a registered financial advisor currently at LEGACY WEALTH MANAGEMENT located in Charlotte, North Carolina.

Christopher is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Christopher has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Christopher L Banks | Christopher Banks | Christopher Lee Banks

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.

Christopher L Banks is a licensed insurance agent.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Lee Banks'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®

None

Experience

Current

February 29, 2024 - Present

LEGACY WEALTH MANAGEMENT

Office #1: 101 N Tryon Street Suite 600, Charlotte, NC 28246

RIA

CRD#: 329837

CHARLOTTE, NC

Past

November 25, 2020 - December 31, 2023

IAMS WEALTH MANAGEMENT, LLC

RIA

CRD#: 286085

Charlotte, NC

Past

June 12, 2018 - November 20, 2020

OSAIC FS, INC.

CRD#: 3870

CHARLOTTE, NC

Past

August 7, 2017 - March 26, 2018

PARK AVENUE SECURITIES LLC

CRD#: 46173

CHARLOTTE, NC

Past

April 26, 2010 - June 2, 2017

EQUITABLE ADVISORS, LLC

CRD#: 6627

CHARLOTTE, NC

Past

September 21, 2007 - September 18, 2009

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

MILWAUKEE, WI

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

North Carolina
(2/29/2024)

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 65

Date: 11/10/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/30/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/4/2015

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/20/2007

Investment Company Products/Variable Contracts Representative Examination

Current Firm

LEGACY WEALTH MANAGEMENT

LEGACY WEALTH MANAGEMENT | LEGACY WEALTH MANAGEMENT, LLC

CRD#: 329837 / SEC#:

North Carolina

Registered Investment Advisory firm - (2/29/2024 Approved)

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Contact information

Main Address

101 N Tryon Street Suite 600, Charlotte, NC 28246

Mailing Address

Phone number

(980) 494-4417

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Advisor Monitoring

Firm Stability Insights

Christopher L. Banks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Lee Banks's CRS (Customer Relationship Summary).

Certified licenses

Experience

IAMS WEALTH MANAGEMENT, LLC

OSAIC FS, INC.

PARK AVENUE SECURITIES LLC

EQUITABLE ADVISORS, LLC

CHASE INVESTMENT SERVICES CORP.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/10/2020

Series 63

Date: 8/30/2007

SIE

Date: 10/1/2018

Series 7

Date: 2/4/2015

Series 6

Date: 9/20/2007

Current Firm

LEGACY WEALTH MANAGEMENT

Contact information

Documents

Red Flags

Company Information

LEGACY WEALTH MANAGEMENT

TRUST BUT VERIFY

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