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Christopher Douglas Kottke

CRD# 5668984·Registered 2009 - 2013
Previously Registered: Being a previously registered professional could mean that Christopher is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

Christopher Douglas Kottke, who also goes by Chris Kottke, was a registered financial advisor. Christopher was a previously registered financial professional and started their career in finance 2009 - 2013. Christopher had worked at 3 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Chris Kottke

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

17 years in the financial services industry

Current & Past Employments

HEIGHT ANALYTICS, LLC·CRD# 149162
RIA
Washington, DC
May 20, 2013 - September 20, 2013
HEIGHT CAPITAL MARKETS·CRD# 150659
BD
Washington, DC
April 6, 2010 - September 20, 2013
IRC SECURITIES LLC·CRD# 150022
BD
Washington, DC
October 6, 2009 - May 26, 2010

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Current Firm

HA
HEIGHT ANALYTICS, LLC

HEIGHT ANALYTICS, LLC

CRD#: 149162
Colorado
Registered Investment Advisory firm - Colorado (8/23/2017 Terminated)
Connecticut
Registered Investment Advisory firm - Connecticut (9/17/2010 Approved)
District of Columbia
Registered Investment Advisory firm - District of Columbia (1/16/2009 Approved)
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).

Contact Information

Main Address

1401 New York Ave Nw Suite 700, Washington, DC 20005

Phone Number

(202) 629-0000

# of Employees

7

Documents

Latest Form ADV

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Mar 2013About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 2009About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Oct 2009About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Jan 2010About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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