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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

CHRISTOPHER MICHAEL FINNEY

Advisor at LPL FINANCIAL LLC

WEST JEFFERSON, NC

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Search this name across graphsid dfx:ria:a23688fe-ddf1-49c5-d6c3-2c5a6ca8e363

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:37 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: May 16, 2007 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 8, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: May 8, 2006
First registration: May 16, 2007
Dual registered: yes, broker-dealer
Other names: CHRIS FINNEY|CHRIS M FINNEY
IAPD individual key: 5056519

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Mar 26, 2018	n/a	yes	WEST JEFFERSON, NC	Current employment
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Mar 21, 2017	Mar 1, 2018	no	BOONE, NC	Previous registration
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	Jan 2, 2014	Mar 21, 2017	no	BOONE, NC\|BOONE, NC	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Mar 11, 2011	Jan 2, 2014	no	WINSTON SALEM, NC\|WILKESBORO, NC\|NORTH WILKESBORO, NC	Previous registration
FIRST CITIZENS INVESTOR SERVICES, INC.	Bd affiliated wealth	May 16, 2007	Mar 11, 2011	no	RALEIGH, NC\|ASHEVILLE, NC	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CETERA INVESTMENT ADVISERS LLC	LPL FINANCIAL LLC	Mar 1, 2018	Mar 26, 2018	25	Firm change	Other
SECURITIES AMERICA ADVISORS, INC.	CETERA INVESTMENT ADVISERS LLC	Mar 21, 2017	Mar 21, 2017	0	Firm change	Other
WELLS FARGO ADVISORS	SECURITIES AMERICA ADVISORS, INC.	Jan 2, 2014	Jan 2, 2014	0	Firm change	Other
FIRST CITIZENS INVESTOR SERVICES, INC.	WELLS FARGO ADVISORS	Mar 11, 2011	Mar 11, 2011	0	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
110518:105644:NC:2017-03-20	Mar 21, 2017	Mar 21, 2017	BOONE, NC	Firm change

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Mar 26, 2018 to presentfactForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Mar 21, 2017 to Mar 1, 2018factForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserregistration: previous registration
Jan 2, 2014 to Mar 21, 2017factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Mar 11, 2011 to Jan 2, 2014factForm ADV
→ FIRST CITIZENS INVESTOR SERVICES, INC.Registered adviserregistration: previous registration
May 16, 2007 to Mar 11, 2011factForm ADV

Dated events

No dated event names this entity yet.