CHALLENGER WEALTH MANAGEMENT of ALISO VIEJO, CA is an SEC-registered investment adviser (CRD 121498). Regulatory assets under management: $275.5M.
Compensation: % of AUM, Hourly, Fixed, Other.
Clients served: Individuals, High net worth, Charities.
| Name | Role | Location |
|---|---|---|
| Nancy Haines Challenger | PRESIDENT, CCO | — |
| Donald Stewart Challenger | VICE-PRESIDENT | — |
| Francisco Javier Crisanto | VICE PRESIDENT | — |
| CHALLENGER NANCY HAINES | PRESIDENT, CCO | — |
| CHALLENGER DONALD STEWART | VICE-PRESIDENT | — |
| CRISANTO FRANCISCO JAVIER | VICE PRESIDENT | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2020-05-29 | regulatory | ON JANUARY 8, 2020, RESPONDENT APPLIED FOR REGISTRATION WITH THE SECURITIES COMMISSIONER AS AN INVESTMENT ADVISER. FROM FEBRUARY 2019 THROUGH MARCH 2020, RESPONDENT VIOLATED SECTION 12.B OF THE TEXAS SECURITIES ACT BY RENDERING SERVICES AS AN INVESTMENT ADVISER IN TEXAS AT A TIME WHEN RESPONDENT WAS… | Final | $5K |