Christopher Stephen Captain

Employer firm

Trek Financial CRD 109376

$2.82B regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Pension consulting
Selection of other advisers
Educational seminars
CONSULTING

From the firm’s Form ADV. Read the guides:

Current Employers

Trek Financial

8355 East Hartford Drive Suite 105, Scottsdale, AZ 85255 • United States

Current Registrations

Authority	Category	Status	Date
UT	RA	APPROVED	2025-08-12
AZ	RA	APPROVED	2023-02-17

UT RA
APPROVED

Since 2025-08-12
AZ RA
APPROVED

Since 2023-02-17

Branch Locations

Riverton, UT • United States

8355 East Hartford Drive Suite 105, Scottsdale, AZ 85255 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Bcj Financial	Scottsdale	AZ	05/2016	12/2018
Kangaroo Moving	St. George	UT	01/2019	03/2020
Efinancial	Mesa	AZ	06/2021	07/2022
Trek Financial	Scottsdale	AZ	09/2022	12/2022
Trek Financial	Scottsdale	AZ	01/2023	Present
Unemployed	Mesa	AZ	07/2022	09/2022
Unemployed	Mesa	AZ	03/2020	06/2021

05/2016 → 12/2018

Bcj Financial

Scottsdale, AZ
01/2019 → 03/2020

Kangaroo Moving

St. George, UT
06/2021 → 07/2022

Efinancial

Mesa, AZ
09/2022 → 12/2022

Trek Financial

Scottsdale, AZ
01/2023 → Present

Trek Financial

Scottsdale, AZ
07/2022 → 09/2022

Unemployed

Mesa, AZ
03/2020 → 06/2021

Unemployed

Mesa, AZ

Other Businesses

Insurance Agent, Investment Related, Scottsdale, AZ, Fixed insurance sales, Start 01/2022, 20 hours per week Door Dash, Driver, Not investment related, Scottsdale, AZ, Start 01/2024, 5 hours per week during non-trading hours

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2022-12-30

S65 Uniform Investment Adviser Law Examination

2022-12-30

Other Names

Chris Captain

View on SEC IAPD