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Christopher Michael Lippus

CRD# 5743734·Registered 2011 - 2016
Barred: Christopher Michael Lippus was barred by the FINRA and is not permitted to conduct business in the covered capacity.

Professional Summary

Christopher Michael Lippus was a registered financial advisor. Christopher was a previously registered financial professional and started their career in finance 2011 - 2016. Christopher had worked at 3 firms and has passed the Series 63, SIE and Series 7 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

There are no additional aliases reported.

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

15 years in the financial services industry

Current & Past Employments

ARIVE CAPITAL MARKETS·CRD# 8060
BD
Farmingdale, NY
October 14, 2015 - July 29, 2016
CHELSEA FINANCIAL SERVICES·CRD# 47770
BD
East Meadow, NY
March 3, 2014 - October 7, 2015
BROOKSTONE SECURITIES, INC.·CRD# 13366
BD
Garden City, NY
April 25, 2011 - April 16, 2012

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Current Firm

AC
ARIVE CAPITAL MARKETS

ARIVE CAPITAL MARKETS | REID AND ASSOCIATES, LLC | REID AND ASSOCIATES | REID & GILMOUR

CRD#: 8060 / SEC#: 8-43350
BD
Terminated by SEC on 07/02/2024

Contact Information

Established

New York since 10/01/1999

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

Documents

Direct owners and executive officers

NamePositionCRD#
LIBERTY VIEW HOLDINGS LLCDIRECT OWNER—
ARIVE HOLDINGS, LLCDIRECT OWNER—
UNIFIED WEALTH MANAGEMENT LLCDIRECT OWNER—
KRISPEAL, RAQUEL ECCO5733217
SULLIVAN, THOMAS FRANCISCFO/FINOP1145000

Disclosures

Regulatory Event

3

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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.

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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 63 — Uniform Securities Agent State Law Examination

Passed Sep 2011About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Jul 2016About the SIE exam

Series 7 — General Securities Representative Examination

Passed Apr 2011About the Series 7 exam

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CRS (Client Relationship Summary)

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

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