Christopher J. Chaffon

NOVA FINANCIAL SERVICES

Tucson, AZ 85718

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CRD#: 5636198

Professional summary

Christopher John Chaffon, who also goes by Chris Chaffon, is a registered financial advisor currently at NOVA FINANCIAL SERVICES located in Tucson, Arizona.

Christopher is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Christopher has worked at 4 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Chris Chaffon

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 John Chaffon'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

June 26, 2015 - Present

NOVA FINANCIAL SERVICES

Office #1: 1630 E River Rd Suite 212, Tucson, AZ 85718

RIA

CRD#: 150148

Tucson, AZ

Past

June 29, 2012 - June 24, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

TUCSON, AZ

Past

June 29, 2012 - June 24, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

TUCSON, AZ

Past

September 2, 2009 - July 30, 2012

MORGAN STANLEY

RIA

CRD#: 149777

TUCSON, AZ

Past

September 2, 2009 - July 30, 2012

MORGAN STANLEY

CRD#: 149777

TUCSON, AZ

Past

May 8, 2009 - September 10, 2009

WADDELL & REED

CRD#: 866

TUCSON, AZ

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".

NOVA FINANCIAL SERVICES

CRD#: 150148 / SEC#: 801-79612

RIA

Registered Investment Advisory firm - (4/25/2014 Approved)

Arizona

Registered Investment Advisory firm - (4/28/2014 Terminated)

California

Registered Investment Advisory firm - (5/28/2014 Terminated)

Illinois

Registered Investment Advisory firm - (4/28/2014 Terminated)

Texas

Registered Investment Advisory firm - (4/28/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Arizona
(6/26/2015)

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 66

Date: 8/13/2009

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 6/24/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 9/17/2009

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/7/2009

General Securities Representative Examination

Current Firm

NOVA FINANCIAL SERVICES

CRD#: 150148 / SEC#: 801-79612

RIA

Registered Investment Advisory firm - (4/25/2014 Approved)

Arizona

Registered Investment Advisory firm - (4/28/2014 Terminated)

California

Registered Investment Advisory firm - (5/28/2014 Terminated)

Illinois

Registered Investment Advisory firm - (4/28/2014 Terminated)

Texas

Registered Investment Advisory firm - (4/28/2014 Terminated)

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Contact information

Main Address

1630 E River Rd Suite 212, Tucson, AZ 85718

Mailing Address

Phone number

(520) 745-5555

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

NF - ADV PART 2A: FIRM BROCHURE (7/15/2025)

Regulatory assets under management

Total Number of Accounts	1,354
AUM (Assets Under Management)	$ 391,234,000

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.

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Advisor Monitoring

Firm Stability Insights

Christopher J. Chaffon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher John Chaffon's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY

MORGAN STANLEY

WADDELL & REED

Primary Firm SEC Registration

NOVA FINANCIAL SERVICES

State Registrations and Notice Filings

Exams

Series 66

Date: 8/13/2009

SIE

Date: 6/24/2015

Series 31

Date: 9/17/2009

Series 7

Date: 5/7/2009

Current Firm

NOVA FINANCIAL SERVICES

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NOVA FINANCIAL SERVICES

TRUST BUT VERIFY

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