Christopher James Frain

CRD 6069459 · Captrust · Chesterton, IN

IA RegisteredBroker

Also appears in the source record as: Chris Frain

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): Series 65Series 63SIESeries 7
Registered states (12): Florida · Illinois · Indiana · Massachusetts · Michigan · North Carolina · Ohio · Oregon · South Carolina · Texas · Virginia · Wisconsin
Years in the industry (source record): 14
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Captrust
Firm CRD: 175112
SEC number: 801-62193
Assets under management: $1.2T as of May 27, 2026
Website: www.linkedin.com/COMPANY/CAPTRUST ↗
Phone: 919-870-6822
Firm location: Raleigh, NC, 27609

Employment history (6)

From the source registration record · current first

Capfinancial Securities, LLC.Current
Chesterton, IN · BD capacity

May 12, 2020 → present
CaptrustCurrent
Chesterton, IN · IA capacity

May 6, 2020 → present
Lakeside Wealth Management Group, LLC
IA capacity

Dec 3, 2013 → Jun 30, 2020
First Allied Securities, Inc.
BD capacity

Aug 19, 2013 → May 7, 2020
Ameriprise Financial Services, Inc.
IA capacity

Oct 24, 2012 → Aug 5, 2013
Ameriprise Financial Services, Inc.
BD capacity

Jun 27, 2012 → Aug 5, 2013

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 6069459 ↗ FINRA BrokerCheck record for CRD 6069459 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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