Christopher J. Topping
Professional summary
Being a previously registered professional could mean that this person 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.
Christopher J Topping, CFP®, who also goes by Christopher James Topping, Christopher Topping, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2012. Christopher had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 12, 2017 - May 30, 2019
LOCUS CAPITAL
May 30, 2014 - August 18, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 30, 2014 - August 18, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 15, 2012 - April 4, 2014
WELLS FARGO CLEARING SERVICES, LLC
September 24, 2012 - April 4, 2014
WELLS FARGO CLEARING SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LOCUS CAPITAL
CRD#: 287630 / SEC#: 802-129447
Contact information
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| SEC | ERA - Withdrawn | 10/29/2025 |
| North Carolina | ERA - Withdrawn | 3/30/2023 |
| Virginia | ERA - Withdrawn | 10/29/2025 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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