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CA
CA

Christopher Avey

Cs Planning CORP
27 Years of Experience
4 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Christopher Avey is a registered investment advisor at Cs Planning CORP, based in Carpinteria, CA, with 27 years of industry experience. Christopher operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, Investment Management, Retirement Planning. Their firm serves 2,819 clients with $1.3B in assets under management.

Cs Planning CORP
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
52 advisors
Number of Clients
2,819 clients
Average Client Portfolio
$449K average
Assets Under Management
$1.3B

Fee Structure

Planning is included in investment management (also available separately)
Minimum Annual Fee:$15,000
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $1.5M1.50%
$1.5M - $5.0M1.00%
$5.0M - $10.0M0.90%
$10M+0.90%

Fees negotiable above $10,000,000. Minimum fee: $15,000.00

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

6187 Carpinteria Avenue, Carpinteria, CA, 93013

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History

Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Financial
February 2018
Final
Customer Dispute
January 2011
Settled
Customer Dispute
November 2004
Closed-No Action
Customer Dispute
May 2004
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Christopher works as an Investment Advisor Representative and Registered Representative for Planmember Securities Corporation and Financial Alternatives, dedicating about half of his time to each. He also owns Medigap Plans of Pacific NW, LLC, offering Part D prescription plans, which takes minimal time.

Employment History
Current Registrations
Cs Planning CORP
March 2023 - Present · 3 yrs 1 mo
Planmember Securities Corporation
May 2018 - Present · 7 yrs 11 mos
Planmember Securities CorporationBroker
May 2018 - Present · 7 yrs 11 mos
Previous Registrations
Cetera Investment Advisers LLC
June 2014 - April 2018 · 3 yrs 10 mos
Cetera Investment Services LLCBroker
June 2014 - April 2018 · 3 yrs 10 mos
Cetera Investment Advisers LLC
January 2014 - June 2014 · 5 mos
Cetera Investment Services LLC
January 2012 - January 2014 · 2 yrs
Cetera Investment Services LLCBroker
January 2012 - June 2014 · 2 yrs 5 mos
First Allied Securities, INC.
October 2010 - December 2011 · 1 yr 2 mos
First Allied Securities, INC.Broker
October 2010 - December 2011 · 1 yr 2 mos
Primevest Financial Services, INC.
July 2004 - October 2010 · 6 yrs 3 mos
Primevest Financial Services, INC.Broker
July 2004 - October 2010 · 6 yrs 3 mos
Wm Financial Services, INC.Broker
February 2003 - July 2004 · 1 yr 5 mos
UBS Painewebber INC.
July 2001 - February 2003 · 1 yr 7 mos
UBS Painewebber INC.Broker
December 2000 - February 2003 · 2 yrs 2 mos
Edward JonesBroker
January 1999 - January 2001 · 2 yrs
State Registrations2 states
IDWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
Christopher Avey - Financial Advisor | TrueAdvisor