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Christopher J Topping

CFP®
CRD# 6102637·Registered 2012 - 2019
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 J Topping, CFP®, who also goes by Christopher James Topping, Christopher Topping, was a registered financial advisor. Christopher was a previously registered financial professional and started their career in finance 2012 - 2019. Christopher had worked at 3 firms and has passed the Series 66, 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

Christopher James Topping, Christopher Topping

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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Credentials

CFP®
Certified Financial Planner

Years of Experience

14 years in the financial services industry

Current & Past Employments

LOCUS CAPITAL·CRD# 287630
RIA
Richmond, VA
May 12, 2017 - May 30, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
RIA
Suffolk, VA
May 30, 2014 - August 18, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
Suffolk, VA
May 30, 2014 - August 18, 2016
WELLS FARGO CLEARING SERVICES, LLC·CRD# 19616
RIA
Newport News, VA
October 15, 2012 - April 4, 2014
WELLS FARGO CLEARING SERVICES, LLC·CRD# 19616
BD
Newport News, VA
September 24, 2012 - April 4, 2014

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Current Firm

LC
LOCUS CAPITAL

LOCUS CAPITAL | LOCUS IMPACT FUND | LOCUS CAPITAL, INC.

CRD#: 287630 / SEC#: 802-129447

Contact Information

Main Address

7814 Carousel Lane Suite 100, Richmond, VA 23294

Phone Number

(804) 793-0985

Documents

Latest Form ADV

Exempt reporting advisers


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
SEC / JURISDICTIONREPORTING STATUSEFFECTIVE DATE
SECERA - Withdrawn10/29/2025
North CarolinaERA - Withdrawn3/30/2023
VirginiaERA - Withdrawn10/29/2025

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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 66 — Uniform Combined State Law Examination

Passed Oct 2012About the Series 66 exam

SIE — Securities Industry Essentials Examination

Passed Aug 2016About the SIE exam

Series 7 — General Securities Representative Examination

Passed Sep 2012About 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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