Haselkorn & Thibaut has opened an investigation into Chris Gardner (CRD# 6399817), a financial advisor based in Los Angeles, California, and currently registered with Signature Estate Securities and Signature Estate & Investment Advisors. If you have worked with Chris Gardner as a client, this report may help you understand what is publicly disclosed about his background, experience, and the current investor complaint alleging significant damages.
Who Is Chris Gardner of Signature Estate Securities?
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Chris Gardner has been active in the securities industry for nearly a decade. Based in Los Angeles, California, he is registered as a broker with Signature Estate Securities since 2023 and as an investment advisor with Signature Estate & Investment Advisors since 2020. His regulatory history reflects experience at previous firms, including Osaic Wealth and Towneley Capital Management. Mr. Gardner has passed the SIE, Series 7, Series 63, and Series 65 qualifying exams and holds his licensing in California.
Advisors like Chris Gardner have a legal obligation to act transparently and in their clients’ best interests, particularly when it comes to recommending investments or strategies. The foundation of this duty lies in the FINRA Rule 2111 (“Suitability”), which requires that any recommendation matches the individual client’s financial background, experience, risk tolerance, and investing goals.
Recent Complaint: Key Facts Investors Must Know
According to recent disclosures, an investor complaint was filed in November 2025 against Chris Gardner. The claim, reported through FINRA’s BrokerCheck database, alleges that Mr. Gardner, while with Signature Estate & Investment Advisors, recommended unsuitable options trades. The damages being sought in this complaint total $465,000.
| Complaint Filed | Nature of Complaint | Amount Alleged | Status |
|---|---|---|---|
| November 2025 | Unsuitable investment recommendations (options trading) | $465,000 | Pending |
Suitability is central to this complaint. When brokers recommend complex or risky investments—such as options trading—to clients whose resources and risk profiles do not align with these products, it can lead to losses and is considered a red flag for possible misconduct. The complaint against Chris Gardner has not yet been resolved, but it is a significant development that current and former clients should be aware of.
Other Public Records: What’s On File for Chris Gardner?
- Regulatory History: As of November 2025, there are no significant regulatory actions against Chris Gardner. No FINRA, SEC, or state actions appear on his public record.
- Customer Complaints: Aside from the current $465,000 complaint, there are no other investor complaints, arbitrations, or lawsuits reported in connection with his professional duty as a financial advisor.
- Civil Litigation: No federal or major state-court lawsuits have been found naming Chris Gardner as a defendant in his capacity as a financial advisor.
- Media and Alerts: No investor alerts or negative media reports are currently associated with his name.
- Financial Health: No bankruptcy filings or similar financial distress signals are on record.
To verify this information or review Chris Gardner’s background yourself, you may use FINRA BrokerCheck. This official tool allows investors to view professional background and regulatory disclosures for investment professionals.
Why Suitability Matters
It’s critical for investors to understand the importance of suitability in financial advising. Unsuitable recommendations can expose clients to unexpected losses, especially in complex markets such as options trading, high-yield or illiquid investments.
If a financial advisor’s recommendations do not align with a client’s financial profile, risk tolerance, or investment goals, it can be grounds for a complaint. In such cases, investors may have the right to pursue a claim to recover losses.
Red Flags to Watch For
- Significant or unexplained losses in your investment accounts, especially related to unfamiliar or risky products.
- Lack of transparency or pressure to agree to investment strategies that you do not fully understand.
- Frequent trading or excessive fees without clear rationale or measurable benefit to your goals.
- Recommendations that do not match your risk tolerance or investment objectives.
If you’ve experienced these red flags with Chris Gardner or any advisor at Signature Estate Securities or Signature Estate & Investment Advisors, consider your legal options for holding parties accountable.
How Haselkorn & Thibaut Can Help You
With over 50 years of experience, a 98% success rate, and millions recovered for investors nationwide, Haselkorn & Thibaut is a dedicated, investor-focused law firm. Our team of attorneys is now investigating Chris Gardner and his practices at Signature Estate Securities and Signature Estate & Investment Advisors.
We offer no recovery, no fee representation. That means you do not owe us anything unless we recover money for you. If you think you may have been affected by unsuitable investment recommendations or have questions about your case, the consultation is free and confidential.
Ready to protect your financial future? Call Haselkorn & Thibaut at 1-888-994-8066 today for a free consultation.
Your peace of mind and financial recovery are our top priorities.
