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Christopher Wallis

Director, CEO & CIO at Vaughan Nelson Investment Management

Investment adviser registrationHouston, TXSEC record checked 17 October 2026

23
Years in the industry
23
Years at the firm
2
Adviser firms
1
State registrations

IAPD record retrieved 17 October 2026SEC record

Christopher Wallis is Director, CEO & CIO of Vaughan Nelson Investment Management, L.P., a Houston investment adviser managing $12.2B. Christopher Wallis has been registered through Vaughan Nelson Investment Management since 12 November 2002, has 23 years in the industry across 2 firms and has passed the Series 63.

Role at Vaughan Nelson Investment Management

Title on Schedule A
Director, CEO & CIO
Control
Christopher Wallis is a control person of Vaughan Nelson Investment Management.
Ownership
An individual ownership band is not available in the source record.
Tenure
Christopher Wallis has held the filed role since December 2011.

The firm

Vaughan Nelson Investment Management, L.P.
Houston, TX

Form ADV filed 30 March 2026

$12.2B AUM379 clients26 advisers2 offices

Career on record

Christopher Wallis has been registered through Vaughan Nelson Investment Management since November 2002.

Firms and exams, newest first
  1. Vaughan Nelson Trust Company
    – · 11 years
    Houston, TX · Adviser representative · Firm CRD 105782
  2. Vaughan Nelson Investment Management, L.p.Current
    – present · 24 years
    Houston, TX · Adviser representative · Firm CRD 106975
  3. Passed Series 63 · 1999

Registrations and exams

Christopher Wallis has a current investment-adviser registration in Texas and has passed 1 qualifying exam.

Texas12 November 2002
Scope
Investment adviser representative
Status
Approved

Examinations

Series 6320 January 1999
Name
Uniform Securities Agent State Law Examination

Individual record

Full name
Christopher David Wallis
CRD
3103840
Firm
Vaughan Nelson Investment Management, L.P.
Registration status
Investment adviser registration
Office
600 TRAVIS, SUITE 6300, Houston, TX 77002
Firm bio
vaughannelson.com

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Background

Vaughan Nelson lists Chris Wallis as CEO and CIO. Official Vaughan Nelson team page

Education

Common questions

Where does Christopher Wallis work?

Christopher Wallis has been Director, CEO & CIO of Vaughan Nelson Investment Management, L.P. since December 2011, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 30 March 2026

Is Christopher Wallis a financial advisor?

Yes. Christopher Wallis has a current investment-adviser registration in Texas, through Vaughan Nelson Investment Management since November 2002, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

How many years of experience does Christopher Wallis have?

Christopher Wallis has worked in the financial industry for 23 years as of 17 October 2026, counted from 11 November 2002, across 2 adviser firms.

Source: IAPD individual record, checked 17 October 2026

What exams has Christopher Wallis passed?

Christopher Wallis passed the Series 63 in January 1999.

Source: IAPD individual record, checked 17 October 2026

Where is Christopher Wallis based?

Christopher Wallis’ registered office is in Houston, TX.

Source: IAPD individual record, checked 17 October 2026

Leadership at Vaughan Nelson Investment Management

Sources

  1. IAPD individual record, CRD 3103840. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Vaughan Nelson Investment Management, L.P., filed 30 March 2026. Title, control and ownership bands.
  3. Vaughan Nelson Investment Management team page. Biography, education, credentials, awards.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Christopher Wallis or Vaughan Nelson Investment Management, L.P. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.