CH
CH
Craig Houck is a registered investment advisor, based in Rochester, NY, with 26 years of industry experience.
Location
One Bausch & Lomb Place, Suite 900, Rochester, NY, 14604
Get directionsHistory
Regulatory History (2)
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.
Customer Dispute
March 2009Denied
Customer Dispute
April 2008Settled
Other Business ActivitiesSells Insurance
Craig provides financial education for retirement plan participants at Manning and Napier, Inc., dedicating about a quarter of his time. He also sells insurance products as a sole proprietor, spending a few hours per week on this activity, and is involved with several non-profit organizations.
Employment History
Current Registrations
Mutual Securities, INC.Broker
October 2025 - Present · 7 mos
Modern Wealth Management, LLC
October 2025 - Present · 7 mos
Previous Registrations
Osaic Wealth, INC.
February 2017 - October 2025 · 8 yrs 8 mos
Osaic Wealth, INC.Broker
March 2009 - October 2025 · 16 yrs 7 mos
AXA Advisors, LLCBroker
February 2002 - March 2009 · 7 yrs 1 mo
Eq Financial Consultants, INC.Broker
February 1996 - April 1998 · 2 yrs 2 mos
The Equitable Life Assurance Society of the United StatesBroker
February 1996 - April 1998 · 2 yrs 2 mos
Eq Financial Consultants, INC.Broker
February 1996 - April 1998 · 2 yrs 2 mos
The Equitable Life Assurance Society of the United StatesBroker
February 1996 - April 1998 · 2 yrs 2 mos
State Registrations22 states
ALCACOCTDCFLGAIAMAMDMIMTNCNHNYOHPASCTNTXVAWI
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.