CF
Christopher A. Faulk
LPL ENTERPRISE
SHERMAN OAKS, CA 91403
Some features on this profile are disabled
CRD#: 6043130
CF
Professional summary
Christopher Anthony Faulk, who also goes by Chris Faulk, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Sherman Oaks, California.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Christopher has worked at 8 firms and has passed the Series 65, Series 63, Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chris Faulk
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.
1) 02/28/2025 - Prudential Advisors - Financial Professional - DBA for LPL Business (entity for LPL business) - at reported business location(s) - start date 02/28/2025 - investment related - 160 hrs/mth 2) 02/28/2025 - The Seed House Project - Financial Literacy Teacher/Financial Coach - 20 hrs/mth - Glendale, CA - start date 06/01/2024 3) 02/28/2025 - Intuit TurboTax - Tax Prep/Accounting/CPA/Tax Expert - 160 hrs/mth - Mountain View, CA - start date 01/10/2025 4) 02/28/2025 - NAIFA-LA Chapter - Non-Profit Board Member - Member At Large - 4 hrs/mth - Los Angeles, CA - start date 01/01/2024 5) 02/28/2025 - Christopher A. Faulk, SecuritWealth - Non-Variable Insurance - Founder - Canoga Park, CA - 20 hrs/mth - start date 01/01/2024 - investment related 6) 02/28/2025 - Non-Variable Insurance/Insurance Agency - Financial Professionals - Canoga Park, CA - start date 02/28/2025 - 160 hrs/mth - investment related 7. 05/28/2025 - Estate Guru - Outside/W-2 Employment - Canoga Park, CA - NOT INV REL - Start Date 06/02/2025 - 5hrs/mth
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Anthony Faulk's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Christopher Anthony Faulk'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®
NoneExperience
Current
March 4, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 15303 Ventura Boulevard Suite 1550, Sherman Oaks, CA 91403RIA
BD
CRD#: 8733
SHERMAN OAKS, CA
Current
March 4, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 15303 Ventura Boulevard Suite 1550, Sherman Oaks, CA 91403RIA
BD
CRD#: 8733
SHERMAN OAKS, CA
Past
November 18, 2024 - March 3, 2025
ALPHASTAR CAPITAL MANAGEMENT
RIA
CRD#: 157423
Canoga Park, CA
Past
June 14, 2024 - October 24, 2024
OSAIC WEALTH, INC.
RIA
CRD#: 23131
CANOGA PARK, CA
Past
June 14, 2024 - October 24, 2024
OSAIC WEALTH, INC.
BD
CRD#: 23131
CANOGA PARK, CA
Past
April 18, 2024 - June 14, 2024
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
CANOGA PARK, CA
Past
February 29, 2024 - June 14, 2024
SECURITIES AMERICA, INC.
BD
CRD#: 10205
CANOGA PARK, CA
Past
May 23, 2020 - January 9, 2024
NYLIFE SECURITIES LLC
BD
CRD#: 5167
WESTLAKE VILLAGE, CA
Past
February 5, 2014 - May 13, 2014
ZEPHYR WEALTH MANAGEMENT
RIA
CRD#: 166303
WESTLAKE VILLAGE, CA
Past
August 13, 2013 - May 15, 2014
FSC SECURITIES CORPORATION
BD
CRD#: 7461
WESTLAKE VILLAGE, CA
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".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(3/4/2025)
IAR
California(3/4/2025)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/23/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
