CHRISTOPHER JAMES MORTIMER - Investment Adviser at VEST SECURITIES, LLC

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Detailed ReportReport

CHRISTOPHER JAMES MORTIMER

CHRISTOPHER MORTIMER

CRD#: 5374562

Investment Adviser

Broker

VEST FINANCIAL LLCCRD#: 165976

CHARLESTON, SC

VEST SECURITIES, LLCCRD#: 317379

Charleston, SC

Disclosures

Disclosures

0 Disclosures

Registration History

License(s)

State Registrations

District of Columbia 8/9/2022

South Carolina 9/13/2024

Illinois 9/14/2022

Virginia 7/31/2015

Maryland 7/28/2022

Virginia 6/30/2022

South Carolina 11/17/2022

SRO Registrations

FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.

Current Registration(s)

VEST SECURITIES, LLC (CRD#:317379)

Charleston, SC

Registered with this firm since 6/30/2022

VEST FINANCIAL LLC (CRD#:165976)

CHARLESTON, SC

Registered with this firm since 7/31/2015

Previous Registration(s)

th hidden text	th hidden text	Name	Location
B	09/16/2016 - 06/30/2022	FIRST DOMINION CAPITAL CORP. (CRD#:16330)	RICHMOND, VA
IA	06/05/2012 - 07/10/2015	PROSHARE ADVISORS LLC (CRD#:134155)	BETHESDA, MD
B	12/02/2011 - 07/10/2015	PROFUNDS DISTRIBUTORS, INC. (CRD#:19541)	BETHESDA, MD
IA	11/24/2008 - 11/28/2011	WELLS FARGO ADVISORS, LLC (CRD#:19616)	BETHESDA, MD
B	11/10/2008 - 11/28/2011	WELLS FARGO ADVISORS, LLC (CRD#:19616)	BETHESDA, MD

FIRST DOMINION CAPITAL CORP. (CRD#:16330)

RICHMOND, VA

09/16/2016 - 06/30/2022

PROSHARE ADVISORS LLC (CRD#:134155)

BETHESDA, MD

06/05/2012 - 07/10/2015

PROFUNDS DISTRIBUTORS, INC. (CRD#:19541)

BETHESDA, MD

12/02/2011 - 07/10/2015

WELLS FARGO ADVISORS, LLC (CRD#:19616)

BETHESDA, MD

11/24/2008 - 11/28/2011

WELLS FARGO ADVISORS, LLC (CRD#:19616)

BETHESDA, MD

11/10/2008 - 11/28/2011

For additional information about investment advisers or broker-dealers, please visit

www.investor.gov

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.

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.