Chris Gardner: $465K Complaint Against SEIA Advisor

A recent investor complaint against Los Angeles, California financial advisor Chris Gardner (CRD# 6399817) alleges that his advice resulted in damages exceeding $400,000. Financial Industry Regulatory Authority records show that he is registered as a broker with Signature Estate Securities and an investment advisor with Signature Estate & Investment Advisors.

Mr. Gardner’s BrokerCheck report discloses one investor complaint. Filed in November 2025, it alleges that as a representative of Signature Estate & Investment Advisors, he recommended unsuitable options trades. The pending complaint alleges damages of $465,000.

Brokers like Mr. Gardner are bound by industry standards that require the recommendation of investments and strategies that are appropriate for a client’s background and objectives. FINRA Rule 2111 specifically established this standard, known as suitability, stating that FINRA-associated brokers must “have a reasonable basis to believe that a recommended transaction or investment strategy” is appropriate for an investor’s profile, which encompasses their financial situation, risk tolerance, investment goals, and other factors. An investment in a high-risk, illiquid real estate investment trust, for example, might be considered unsuitable for an investor with a low risk tolerance and conservative objectives. Brokers who recommend unsuitable investments can be held liable in the event of losses.

According to the Financial Industry Regulatory Authority, Chris Gardner holds nine years of securities industry experience. Based in Los Angeles, California, he has been registered as a broker with Signature Estate Securities since 2023 and an investment advisor with Signature Estate & Investment Advisors since 2020. His past registrations include Osaic Wealth and Towneley Capital Management. His credentials include the passage of three securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the Uniform Investment Adviser Law Examination, or Series 65; the Uniform Securities Agent State Law Examination, or Series 63; and the General Securities Representative Examination, or Series 7TO. He is licensed in California. (Information current as of November 22, 2025.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.