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CM

Christopher T. Middleton

Some features on this profile are disabled
CRD#: 6551432
CM

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 Tyler Middleton, who also goes by Christopher Tyler Middleton, Christopher Middleton, Chris Middleton, was a registered financial professional .

Christopher is a previously registered financial professional and started their career in finance in 2016. Christopher had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Christopher Tyler Middleton | Christopher Middleton | Chris Middleton

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 2, 2022 - August 2, 2023

FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC

RIA
CRD#: 316024
Rancho Cordova, CA
Past

November 26, 2019 - November 5, 2020

SECURITIES AMERICA ADVISORS, INC.

RIA
CRD#: 110518
ORANGEVALE, CA
Past

November 25, 2019 - November 5, 2020

SECURITIES AMERICA, INC.

BD
CRD#: 10205
ORANGEVALE, CA
Past

February 22, 2018 - December 3, 2019

PRINCIPAL SECURITIES, INC.

RIA
CRD#: 1137
Roseville, CA
Past

February 15, 2018 - December 3, 2019

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
Roseville, CA
Past

May 16, 2016 - January 17, 2018

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
SACRAMENTO, CA

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".
FG
FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC
FINANCIAL GRAVITY FAMILY OFFICE SERVICES, INC. | FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC

CRD#: 316024 / SEC#: 801-122258

RIA
Registered Investment Advisory firm - (9/9/2021 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/10/2016
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/16/2016
General Securities Representative Examination

Current Firm

FG
FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC
FINANCIAL GRAVITY FAMILY OFFICE SERVICES, INC. | FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC

CRD#: 316024 / SEC#: 801-122258

RIA
Registered Investment Advisory firm - (9/9/2021 Approved)
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Contact information

Main Address
2501 Ranch Road 620 S Ste 110, Lakeway, TX 78734
Mailing Address
Phone number
(800) 588-3893
Established
Firm type
Fiscal year end
# of Employees
45

SEC notice filing (35 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A BROCHURE (12/23/2025)

Regulatory assets under management

Total Number of Accounts3,077
AUM (Assets Under Management)$ 590,457,327

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

FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC

CRD#: 316024

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