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CC

Christopher A. Carbone

BELLWETHER INVESTMENT SERVICES LLC
Loveland, OH
Some features on this profile are disabled
CRD#: 5589809
CC

Professional summary

Christopher A Carbone, who also goes by Chris Carbone, is a registered financial advisor currently at BELLWETHER INVESTMENT SERVICES LLC located in Loveland, Ohio.

Christopher is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Christopher has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Chris Carbone

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher A Carbone'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

July 21, 2020 - Present

BELLWETHER INVESTMENT SERVICES LLC

RIA
CRD#: 306126
Loveland, OH
Past

January 5, 2016 - September 8, 2020

NATIONAL WEALTH MANAGEMENT GROUP, LLC

RIA
CRD#: 174883
Cincinnati, OH
Past

September 8, 2009 - September 8, 2016

LPL FINANCIAL LLC

RIA
CRD#: 6413
LOVELAND, OH
Past

September 4, 2009 - August 5, 2020

LPL FINANCIAL LLC

BD
CRD#: 6413
LOVELAND, OH
Past

December 2, 2008 - September 4, 2009

PFS INVESTMENTS INC.

BD
CRD#: 10111
CINCINNATI, OH

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
Ohio
(7/21/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 12/5/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/7/2010
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/1/2008
Investment Company Products/Variable Contracts Representative Examination

Current Firm

BI
BELLWETHER INVESTMENT SERVICES LLC
BELLWETHER INVESTMENT SERVICES LLC

CRD#: 306126 / SEC#:

Ohio
Registered Investment Advisory firm - (7/21/2020 Approved)
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Contact information

Main Address
Loveland, OH
Mailing Address
Phone number
(513) 382-3620
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts28
AUM (Assets Under Management)$ 2,800,000

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

BELLWETHER INVESTMENT SERVICES LLC

CRD#: 306126Loveland, OH

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