Christopher L. Tanner

PLAN & ACT

Buena Vista, CO

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CRD#: 6800859

Professional summary

Christopher Luke Szymczak Tanner, who also goes by Christopher Luke Szymczak, is a registered financial advisor currently at PLAN & ACT located in Buena Vista, Colorado and THEPENSION401K located in Buena Vista, Colorado.

Christopher is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Christopher has worked at 3 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Christopher Luke Szymczak

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.

Name: ThePension401k Investment-related: Yes Address: 912 South Main Street Nature/description: ERISA 3(38) Investment Manager services on small-business and non-profit qualified retirement plans. Position: Employee (Non-owner) Title: Team Advisor Hire date: November 2019 Hours/month: 20, all during securities trading hours Duties: To consult on open-architecture retirement plan design for small business clients, then provide ongoing fiduciary advice on plan maintenance

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Luke Szymczak Tanner'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

February 5, 2020 - Present

PLAN & ACT

RIA

CRD#: 148453

Buena Vista, CO

Current

July 25, 2021 - Present

THEPENSION401K

RIA

CRD#: 284453

Buena Vista, CO

Past

April 15, 2019 - January 6, 2020

CAMBRIDGE FINANCIAL ADVISORS, LLC

RIA

CRD#: 118314

Buena Vista, CO

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

Colorado
(2/5/2020)

IAR

Florida
(10/20/2020)

IAR

Michigan
(5/8/2025)

IAR

Ohio
(7/28/2021)

IAR

Texas
(5/6/2025)

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

IAR

Series 65

Date: 3/16/2019

Uniform Investment Adviser Law Examination

Current Firm

PLAN & ACT

FINANCIAL STAGES, LLC | PLAN AND ACT | PLAN & ACT | PEOPLE'S FINANCIAL ADVISOR | FINANCIALADVICE4ME, LLC

CRD#: 148453 / SEC#: 801-69786

RIA

Registered Investment Advisory firm - (6/10/2019 Terminated)

Colorado

Registered Investment Advisory firm - (6/7/2019 Approved)

Florida

Registered Investment Advisory firm - (10/13/2020 Approved)

Michigan

Registered Investment Advisory firm - (12/1/2022 Approved)

Ohio

Registered Investment Advisory firm - (7/6/2021 Approved)

Texas

Registered Investment Advisory firm - (3/14/2025 Conditional Restricted)

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).

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Contact information

Main Address

Buena Vista, CO

Mailing Address

Phone number

(719) 966-5100

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	358
AUM (Assets Under Management)	$ 45,000,000

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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Christopher L. Tanner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Luke Szymczak Tanner's CRS (Customer Relationship Summary).

Certified licenses

Experience

PLAN & ACT

THEPENSION401K

CAMBRIDGE FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/16/2019

Current Firm

PLAN & ACT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PLAN & ACT

TRUST BUT VERIFY

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