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Christopher Puffer

Money Concepts Advisory Service
29 Years of Experience
Louisville, KY
4 DisclosuresBroker
View SEC Summary
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Christopher Puffer is a registered investment advisor at Money Concepts Advisory Service, based in Louisville, KY, with 29 years of industry experience. Christopher is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Annuities, Education Planning, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 17,032 clients with $4.1B in assets under management.

Money Concepts Advisory Service
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
395 advisors
Number of Clients
17,032 clients
Average Client Portfolio
$239K average
Assets Under Management
$4.1B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Minimum Annual Fee:$250
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $1.0M1.30%
$1.0M - $3.0M1.00%
$3.0M - $5.0M0.90%
$5.0M - $10.0M0.75%
$10M+0.60%

Fees vary by program. Standard Guided Portfolio Solutions program typically charges 2.5% annually. Pension and MAP programs use tiered schedules ranging from 1.30% down to 0.60% annually.

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

Location

323 Townepark Circle, Louisville, KY, 40243

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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.
Customer Dispute
November 2019
Settled
Customer Dispute
April 2018
Denied
Customer Dispute
April 2017
Closed-No Action
Employment Separation After Allegations
September 2006
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Christopher is an officer at Creative Capital Group, Corp., spending minimal time on this investment-related business. He also works as a consultant for The Puffer Financial Group and Rye Wright & Hiegel, dedicating minimal time to each activity.

Employment History
Current Registrations
Money Concepts Advisory Service
November 2006 - Present · 19 yrs 11 mos
Money Concepts Capital CORPBroker
October 2006 - Present · 20 yrs
Previous Registrations
Pruco Securities, LLC.Broker
May 1997 - October 2006 · 9 yrs 5 mos
State Registrations23 states
COCTFLGAIDILINKSKYLAMDMONCNHNJNVOHOKPASCTXVAWV
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.
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