Christopher J. Bak

THRIVE CAPITAL MANAGEMENT

Fort Washington, PA 19034

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CRD#: 6278208

Professional summary

Christopher Joseph Bak, who also goes by Chris J Bak, is a registered financial advisor currently at THRIVE CAPITAL MANAGEMENT, LLC located in Fort Washington, Pennsylvania.

Christopher is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Christopher has worked at 4 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Chris J Bak

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) - RIA

Click below to view Christopher Joseph Bak's CRS (Customer Relationship Summary).

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

October 6, 2020 - Present

THRIVE CAPITAL MANAGEMENT, LLC

Office #1: 1015 Virginia Drive Suite 210, Fort Washington, PA 19034

RIA

CRD#: 281347

Fort Washington, PA

Past

June 14, 2019 - September 21, 2020

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

CRD#: 130390

RALEIGH, NC

Past

October 30, 2017 - August 13, 2020

EFFICIENT ADVISORS

RIA

CRD#: 150144

PHILADELPHIA, PA

Past

September 18, 2017 - October 20, 2017

BOENNING & SCATTERGOOD, INC.

CRD#: 100

WEST CONSHOHOCKEN, PA

Past

June 24, 2016 - October 20, 2017

BOENNING & SCATTERGOOD, INC.

RIA

CRD#: 100

WEST CONSHOHOCKEN, PA

Past

April 19, 2016 - June 30, 2016

EFFICIENT ADVISORS

RIA

CRD#: 150144

PHILADELPHIA, PA

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".

THRIVE CAPITAL MANAGEMENT, LLC

OPTIMAL WEALTH SERVICES | THRIVE CAPITAL MANAGEMENT, LLC

CRD#: 281347 / SEC#: 801-119936

RIA

Registered Investment Advisory firm - (12/7/2020 Approved)

Florida

Registered Investment Advisory firm - (12/10/2020 Terminated)

New Jersey

Registered Investment Advisory firm - (12/31/2020 Terminated)

Pennsylvania

Registered Investment Advisory firm - (12/11/2020 Terminated)

Texas

Registered Investment Advisory firm - (12/10/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Pennsylvania
(10/6/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 7/8/2017

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 3/4/2016

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/20/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/18/2017

General Securities Representative Examination

Current Firm

THRIVE CAPITAL MANAGEMENT, LLC

OPTIMAL WEALTH SERVICES | THRIVE CAPITAL MANAGEMENT, LLC

CRD#: 281347 / SEC#: 801-119936

RIA

Registered Investment Advisory firm - (12/7/2020 Approved)

Florida

Registered Investment Advisory firm - (12/10/2020 Terminated)

New Jersey

Registered Investment Advisory firm - (12/31/2020 Terminated)

Pennsylvania

Registered Investment Advisory firm - (12/11/2020 Terminated)

Texas

Registered Investment Advisory firm - (12/10/2020 Terminated)

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Contact information

Main Address

500 W Office Center Drive Suite 300, Fort Washington, PA 19034

Mailing Address

Phone number

(800) 516-5861

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/26/2025)

Regulatory assets under management

Total Number of Accounts	2,494
AUM (Assets Under Management)	$ 397,680,145

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.

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Advisor Monitoring

Firm Stability Insights

Christopher J. Bak

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Joseph Bak's CRS (Customer Relationship Summary).

Certified licenses

Experience

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

EFFICIENT ADVISORS

BOENNING & SCATTERGOOD, INC.

BOENNING & SCATTERGOOD, INC.

EFFICIENT ADVISORS

Primary Firm SEC Registration

THRIVE CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/8/2017

Series 65

Date: 3/4/2016

SIE

Date: 10/20/2017

Series 7

Date: 9/18/2017

Current Firm

THRIVE CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THRIVE CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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