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CC

Christopher N. Carter

KORNITZER CAPITAL MANAGEMENT
Shawnee Mission, KS 66205-3084
Some features on this profile are disabled
CRD#: 7407465
CC

Professional summary

Christopher Neal Carter is a registered financial advisor currently at KORNITZER CAPITAL MANAGEMENT, INC. located in Shawnee Mission, Kansas.

Christopher is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Christopher has worked at 1 firm .

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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 Neal Carter'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

July 12, 2021 - Present

KORNITZER CAPITAL MANAGEMENT, INC.

Office #1: 5420 West 61st Place, Shawnee Mission, KS 66205-3084
RIA
CRD#: 111087
Shawnee Mission, KS

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".
KC
KORNITZER CAPITAL MANAGEMENT, INC.
KORNITZER CAPITAL MANAGEMENT INC | KORNITZER CAPITAL MANAGEMENT, INC.

CRD#: 111087 / SEC#: 801-34933

RIA
Registered Investment Advisory firm - (8/4/1989 Approved)

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
Kansas
(7/12/2021)

Exams

Current Firm

KC
KORNITZER CAPITAL MANAGEMENT, INC.
KORNITZER CAPITAL MANAGEMENT INC | KORNITZER CAPITAL MANAGEMENT, INC.

CRD#: 111087 / SEC#: 801-34933

RIA
Registered Investment Advisory firm - (8/4/1989 Approved)
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Contact information

Main Address
5420 West 61st Place, Mission, KS 66205-3084
Mailing Address
P.o. Box 918, Shawnee Mission, KS 66201-0918
Phone number
(913) 677-7778
Established
Firm type
Fiscal year end
# of Employees
40

SEC notice filing (44 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

BROCHURE DISCLOSURE (6/26/2025)

Regulatory assets under management

Total Number of Accounts5,127
AUM (Assets Under Management)$ 6,752,273,410

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/20/2025
Cover Page
Report
11/19/2024
Cover Page
Report
09/25/2023
Cover Page
Report
12/21/2022
Cover Page
Report

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

KORNITZER CAPITAL MANAGEMENT, INC.

CRD#: 111087Shawnee Mission, KS 66205-3084

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