CB
Christopher A. Brubaker
SWISHER FINANCIAL CONCEPTS
WESTERVILLE, OH 43082
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CRD#: 7553332
CB
Professional summary
Christopher Aaron Brubaker, who also goes by Christopher Brubaker, is a registered financial advisor currently at SWISHER FINANCIAL CONCEPTS, INC. located in Westerville, Ohio and PRIVATE CLIENT SERVICES, LLC located in Westerville, Ohio.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Christopher has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Christopher Brubaker
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.
1) Swisher Financial Concepts, Inc. 612 Office Parkway, Suite B, Westerville, OH 43082. RIA. Investment Advisor. 160 hrs/mo; 130 during trading hrs. 2) Private Client Services, LLC, broker/dealer, registered representative, 5% of his time, during trading hours. 3) Golf Caddy-Scioto Country Club. 2196 Riverside Dr, Columbus, OH 43221. Independent Contractor. Caddie for members and guests; clean clubs and balls; give yardages, read greens and give advice on what type of shot to hit. 5 hrs/mo; 0 during trading hrs. 4) Golf Caddy-The Golf Club. 4522 Kitzmiller Rd, New Albany, OH 43054. Independent Contractor. Caddie for members and guests; clean clubs and balls; give yardages, read greens and give advice on what type of shot to hit. 5 hrs/mo; 0 during trading hrs. 5) Insurance. Life, health, accident, disability. 8 hrs/mo; 8 during trading hrs.
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Aaron Brubaker'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®
NoneExperience
Current
February 5, 2024 - Present
SWISHER FINANCIAL CONCEPTS, INC.
Office #1: 612 Office Parkway Suite B, Westerville, OH 43082RIA
CRD#: 121384
WESTERVILLE, OH
Current
January 30, 2024 - Present
PRIVATE CLIENT SERVICES, LLC
Office #1: 612 Office Parkway Suite B, Westerville, OH 43082RIA
BD
CRD#: 120222
WESTERVILLE, OH
Past
July 5, 2023 - February 2, 2024
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Gahanna, OH
Past
November 26, 2022 - February 2, 2024
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Gahanna, OH
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".
SF
SWISHER FINANCIAL CONCEPTS, INC.
SWISHER FINANCIAL CONCEPTS | SWISHER FINANCIAL CONCEPTS, INC.
CRD#: 121384 / SEC#: 801-115211
RIA
Registered Investment Advisory firm - (5/7/2019 Approved)Florida
Registered Investment Advisory firm - (5/28/2019 Terminated)Ohio
Registered Investment Advisory firm - (5/29/2019 Terminated)Pennsylvania
Registered Investment Advisory firm - (5/28/2019 Terminated)Texas
Registered Investment Advisory firm - (5/28/2019 Terminated)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.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
Florida(2/19/2025)
RR
Ohio(1/30/2024)
IAR
Ohio(2/5/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/26/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SF
SWISHER FINANCIAL CONCEPTS, INC.
SWISHER FINANCIAL CONCEPTS | SWISHER FINANCIAL CONCEPTS, INC.
CRD#: 121384 / SEC#: 801-115211
RIA
Registered Investment Advisory firm - (5/7/2019 Approved)Florida
Registered Investment Advisory firm - (5/28/2019 Terminated)Ohio
Registered Investment Advisory firm - (5/29/2019 Terminated)Pennsylvania
Registered Investment Advisory firm - (5/28/2019 Terminated)Texas
Registered Investment Advisory firm - (5/28/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
612 Office Parkway Suite B, Westerville, OH 43082
Mailing Address
Phone number
(614) 890-1930
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,350 |
| AUM (Assets Under Management) | $ 257,546,665 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
