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CK

Chet P. Kristy

INDEPENDENT INVESTMENT BANKERS,
San Diego, CA
Some features on this profile are disabled
CRD#: 6149507
CK

Professional summary

Chet Perry Kristy, who also goes by Chet P Kristy, is a registered financial professional currently at INDEPENDENT INVESTMENT BANKERS, CORP. located in San Diego, California.

Chet is registered as a RR (Registered Representative) and started their career in finance in 2016. Chet has worked at 6 firms and has passed the Series 63, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chet P Kristy

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Chet Perry Kristy'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®
None

Experience

Current

August 6, 2024 - Present

INDEPENDENT INVESTMENT BANKERS, CORP.

RIA
BD
CRD#: 154134
San Diego, CA
Past

July 25, 2022 - August 2, 2024

IKONA PARTNERS

BD
CRD#: 318986
Charlotte, NC
Past

January 27, 2022 - July 29, 2022

FLYING CLOUD SECURITIES LLC

BD
CRD#: 167621
SAN FRANCISCO, CA
Past

September 18, 2018 - January 28, 2022

VISTA POINT ADVISORS, LLC

BD
CRD#: 157502
SAN FRANCISCO, CA
Past

August 28, 2017 - September 10, 2018

NOMURA GREENTECH CAPITAL ADVISORS, LLC

BD
CRD#: 149644
SAN FRANCISCO, CA
Past

July 30, 2016 - May 11, 2017

TRUIST SECURITIES, INC.

BD
CRD#: 6271
ATLANTA, GA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
(8/6/2024)
RR
North Carolina
(8/6/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 8/22/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 7/30/2016
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

II
INDEPENDENT INVESTMENT BANKERS, CORP.
INDEPENDENT INVESTMENT BANKERS CORP. | INDEPENDENT INVESTMENT BANKERS, CORP.

CRD#: 154134 / SEC#: , 8-68609

Arizona
Registered Investment Advisory firm - SEC (7/14/2025 Terminated)
Texas
Registered Investment Advisory firm - SEC (7/14/2025 Termination Requested)
Washington
Registered Investment Advisory firm - SEC (8/14/2025 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
11801 Domain Blvd 3rd Floor, Austin, TX 78758
Mailing Address
2900 North Quinlan Park Rd. Suite# 240-235, Austin, TX 78732
Phone number
(512) 266-3000
Established
Delaware since 04/07/2010
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
6

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
IIB HOLDINGS, CORP.OWNER
FICHERA, DANTECEO/CFO3059445
GODDARD, HOUSTON ALLENCCO AND GENERAL COUNSEL1260759

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.

Company Information

INDEPENDENT INVESTMENT BANKERS, CORP.

CRD#: 154134San Diego, CA

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