CC
Christopher J. Carruthers
DOVETAIL WEALTH MANAGEMENT
Taylor, TX 76574
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CRD#: 6043416
CC
Professional summary
Christopher J Carruthers, who also goes by Christopher James Carruthers, is a registered financial advisor currently at DOVETAIL WEALTH MANAGEMENT, LLC located in Taylor, Texas and LPL FINANCIAL LLC located in Taylor, Texas.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Christopher has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Christopher James Carruthers
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. 7/2021 - DBA for LPL Business (entity for LPL business) - Dovetail Wealth Management - Investment Related - Taylor, TX 76574 2. 08/23/2021 - Dovetail Wealth Management, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 7/1/2021 - 160 Hours Per Month/160 Hours During Securities Trading - I provide investment advisory services through Dovetail Wealth Management, LLC, an independent investment advisor firm. I started this business activity in 07/2021. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 05/09/2023 - No Business Name - Not Investment Related - Home Based - Product Reviews - Start Date 10/01/2022 - 4 Hours Per Month/1 Hours During Securities Trading 4. 8/2023- Treasurer- Cub Scouts. Not Investment Related- Home based- 4 hours per month/1 hr. per month during securities trading.
CRS (Client Relationship Summary) - RIA
Click below to view Christopher J Carruthers'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
July 15, 2021 - Present
DOVETAIL WEALTH MANAGEMENT, LLC
Office #1: 301 North Main Street, Taylor, TX 76574RIA
CRD#: 291068
Taylor, TX
Current
July 14, 2021 - Present
LPL FINANCIAL LLC
Office #1: 301 N Main St, Taylor, TX 76574RIA
BD
CRD#: 6413
TAYLOR, TX
Past
July 18, 2019 - June 30, 2020
AUSTIN PRIVATE WEALTH, LLC
RIA
CRD#: 304344
AUSTIN, TX
Past
July 29, 2014 - July 23, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
Corpus Christi, TX
Past
July 29, 2014 - July 23, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Corpus Christi, TX
Past
July 17, 2013 - June 4, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
AUSTIN, TX
Past
May 13, 2013 - June 4, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
AUSTIN, TX
Past
March 30, 2012 - January 7, 2013
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
FORT WORTH, TX
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".
DW
DOVETAIL WEALTH MANAGEMENT, LLC
BH FINANCIAL MANAGEMENT, LLC | DOVETAIL WEALTH MANAGEMENT, LLC
CRD#: 291068 / SEC#: 801-112276
RIA
Registered Investment Advisory firm - (1/8/2018 Approved)Louisiana
Registered Investment Advisory firm - (9/8/2020 Approved)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
Arizona(7/11/2025)
RR
California(7/26/2021)
RR
Colorado(7/26/2021)
RR
Hawaii(7/26/2021)
RR
Indiana(7/26/2021)
RR
Kentucky(7/26/2021)
RR
Maryland(7/26/2021)
RR
New Mexico(7/26/2021)
RR
New York(7/26/2021)
RR
North Carolina(7/26/2021)
RR
Oklahoma(7/26/2021)
RR
Texas(7/14/2021)
IAR
Texas(7/15/2021)
RR
Utah(10/7/2022)
RR
Virginia(7/26/2021)
RR
Washington(7/26/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
DW
DOVETAIL WEALTH MANAGEMENT, LLC
BH FINANCIAL MANAGEMENT, LLC | DOVETAIL WEALTH MANAGEMENT, LLC
CRD#: 291068 / SEC#: 801-112276
RIA
Registered Investment Advisory firm - (1/8/2018 Approved)Louisiana
Registered Investment Advisory firm - (9/8/2020 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
301 North Main Street, Taylor, TX 76574
Mailing Address
Phone number
(512) 352-1613
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 819 |
| AUM (Assets Under Management) | $ 299,183,668 |
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.
