Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
CHRIS WESTON
CHRIS L WESTON, CHRIS LEE WESTON
CRD#: 2705903
IA
Investment Adviser
B
Previous Broker
RIA ADVISORY GROUP, LLCCRD#: 152566 500 SW 7TH STREET
SUITE 204
DES MOINES, IA 50309
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS1996 - 1997 (1 year)2 FIRMS2006 - 2007 (<1 year)2 FIRMS2007 - 2012 (5 years)2 FIRMS2012 - 2021 (8 years)2 FIRMS2023 - 2023 (<1 year)IARIA ADVISORY GROUP, LLC (CRD# 152566)2024 - Present (<1 year)BINVEST FINANCIAL CORPORATION (CRD# 12984)2001 - 2006 (4 years)BAMERITAS INVESTMENT CORP. (CRD# 14869)2000 - 2001 (1 year)BLOCUST STREET SECURITIES, INC. (CRD# 1703)1999 - 2000 (1 year)BNEW ENGLAND SECURITIES (CRD# 615)1998 - 1998 (<1 year)BMERCANTILE INVESTMENT SERVICES... (CRD# 19908)1997 - 1998 (1 year)IABELPOINTE ASSET MANAGEMENT LLC (CRD# 143440)2021 - 2022 (1 year)IAINVEST FINANCIAL CORPORATION (CRD# 12984)2004 - 2006 (1 year)
Disclosure(s)
View By:
5/12/2011
Customer Dispute
Denied
License(s)

State Registrations

IA
Iowa 10/9/2024
Current Registration(s)
IA
RIA ADVISORY GROUP, LLC (CRD#:152566)
500 SW 7TH STREET SUITE 204, DES MOINES, IA 50309
Registered with this firm since 10/9/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/26/2023 - 12/20/2023 SECURITIES AMERICA ADVISORS, INC. (CRD#:110518) WEST DES MOINES, IA
B
 04/27/2023 - 12/20/2023 SECURITIES AMERICA, INC. (CRD#:10205) WEST DES MOINES, IA
IA
 09/22/2021 - 10/12/2022 BELPOINTE ASSET MANAGEMENT LLC (CRD#:143440) Norwalk, IA
IA
 12/13/2012 - 04/30/2021 WADDELL & REED (CRD#:866) NORWALK, IA
B
 12/13/2012 - 04/30/2021 WADDELL & REED (CRD#:866) NORWALK, IA
IA
 05/01/2007 - 12/18/2012 SECURITIES AMERICA ADVISORS, INC. (CRD#:110518) DES MOINES, IA
B
 04/20/2007 - 12/18/2012 SECURITIES AMERICA, INC. (CRD#:10205) DES MOINES, IA
IA
 04/17/2006 - 03/30/2007 PRIMEVEST FINANCIAL SERVICES, INC. (CRD#:15340) CHARITON, IA
B
 04/17/2006 - 03/30/2007 PRIMEVEST FINANCIAL SERVICES, INC. (CRD#:15340) CHARITON, IA
IA
 07/01/2004 - 04/17/2006 INVEST FINANCIAL CORPORATION (CRD#:12984) DES MOINES, IA
B
 10/23/2001 - 04/17/2006 INVEST FINANCIAL CORPORATION (CRD#:12984) DES MOINES, IA
B
 07/19/2000 - 11/13/2001 AMERITAS INVESTMENT CORP. (CRD#:14869) LINCOLN, NE
B
 02/03/1999 - 07/17/2000 LOCUST STREET SECURITIES, INC. (CRD#:1703) DES MOINES, IA
B
 09/04/1998 - 12/15/1998 NEW ENGLAND SECURITIES (CRD#:615) NEW YORK, NY
B
 09/20/1997 - 09/02/1998 MERCANTILE INVESTMENT SERVICES, INC. (CRD#:19908) ST. LOUIS, MO
B
 02/21/1996 - 09/15/1997 NORTHWESTERN MUTUAL INVESTMENT SERVICES, INC. (CRD#:2881) MILWAUKEE, WI
B
 02/21/1996 - 09/15/1997 ROBERT W. BAIRD & CO. INCORPORATED (CRD#:8158) MILWAUKEE, WI
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.