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Christopher Richard Brockway

FIRST COMMAND ADVISORY SERVICES
Independence, MO
·CRD# 7805475·3 years experience

Professional Summary

Christopher Richard Brockway, who also goes by Chris Brockway, is a registered financial advisor currently at FIRST COMMAND ADVISORY SERVICES located in Independence, Missouri and FIRST COMMAND BROKERAGE SERVICES, INC. located in Warrensburg, Missouri. Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Christopher has worked at 2 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Chris Brockway

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

3 years in the financial services industry

Current & Past Employments

FIRST COMMAND ADVISORY SERVICES·CRD# 281958
RIA
1. Independence, MO2. 1125 N Simpson Dr, Ste H, Warrensburg, MO 64093
March 4, 2024 - Present
FIRST COMMAND BROKERAGE SERVICES, INC.·CRD# 3641
BD
1125 N Simpson Dr, Ste H, Warrensburg, MO 64093
December 5, 2023 - Present

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Current Firm

FC
FIRST COMMAND ADVISORY SERVICES

FIRST COMMAND ADVISORY SERVICES

CRD#: 281958 / SEC#: 801-56942
RIA
Registered Investment Advisory firm - SEC (7/28/2005 Approved)

Contact Information

Main Address

1 Firstcomm Plaza, Fort Worth, TX 76109

Mailing Address

Po Box 2387, Fort Worth, TX 76113-2387

Phone Number

(817) 731-8621

# of Employees

1,787

SEC notice filing (52 States and Territories)

Registered to provide investment advisory services in 52 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

WRAP PROGRAM BROCHURE (6/24/2026)

Regulatory Assets Under Management

Total Number of Accounts

113,591

AUM (Assets Under Management)

$24,429,418,155

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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) Finish Line Contracting, LLC; Is not investment related; Owner of a Contracting business that employs sub-contractors; ran out of my home at 1606 S Osage St. Independence MO, 64055; Spend roughly 10 hours a week on the business, none during trading hours; founded the company April of 2022; my role is to find jobs, pay sub-contractors and schedule sub-contractors. Brockway Rentals, LLC; Is not investment related; Owner of 3 rental properties; ran out of my home at 1606 S Osage St, Independence MO, 64055; Spend 1 hours a week ensuring that properties are maintain, mortgages are paid, and rent is collected, rarely during trading hours; incorporated in April 2022.
(2) Name of the other business: Chris Brockway Racing Whether the business is investment-related: No Address of the other business: 1606 S Osage St. Independence MO 64055 Nature of the other business: Owner/Sole/Partner Your position, title, or relationship with the other business: Owner/Driver The start date of your relationship: Dec 01, 2004 The approximate number of hours/month you devote to the other business: 6 to 10 The number of hours you devote to the other business during securities trading hours: None Briefly describe your duties relating to the other business: I own and operate my own race team. It doesn't turn a profit most years, along with a volunteer crew, we maintain my race car or cars and compete regionally for small cash prizes in and around Missouri and Kansas.

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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".
FC
FIRST COMMAND ADVISORY SERVICES

FIRST COMMAND ADVISORY SERVICES

CRD#: 281958 / SEC#: 801-56942
RIA
Registered Investment Advisory firm - SEC (7/28/2005 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.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Illinois
(2/2/2026)
RR
Kansas
(1/29/2026)
RR
Missouri
(3/4/2024)
IAR
Missouri
(3/4/2024)
RR
Oklahoma
(4/22/2024)

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.Note:This rule does not apply to broker-dealer activity.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Jan 2024About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Dec 2023About the Series 63 exam

Series 6TO — Investment Company Products/Variable Contracts Representative Examination

Passed Dec 2023About the Series 6TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2023About the SIE exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Christopher Richard Brockway's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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