Kristi A. Mandt

LAKESIDE ADVISORS

Seattle, WA 98122-2427

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CRD#: 1095765

Professional summary

Kristi Ann Mandt, AIF®, CFP®, who also goes by Kristi Glockner, is a registered financial advisor currently at LAKESIDE ADVISORS INC located in Seattle, Washington.

Kristi is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Kristi has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 15 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kristi Glockner

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) LAKESIDE ADVISORS - INVESTMENT RELATED - SAME - INVESTMENT ADVICE - VP - 2005 - HOURS VARY - PROVIDE INVESTMENT ADVICE TO CLIENTS 2) MILLIKIN MANDT ASSOC - INVESTMENT RELATED - SAME - INVESTMENT ADVICE - OWNER - 200 HRS/MO - 10 HRS/MO DURING TRADING - PROVIDE INVESTMENT ADVICE AND FINANCIAL PLANNING 3) VARIOUS INSURANCE - NON-INVESTMENT - SAME ADDRESS - INSURANCE - AGENT/CONTRACTOR - 1983 - LESS THAN 1 HR/MO - DURING TRADING - SPDA, TERM AND OTHER INSURANCE PRODUCT SALES 4)LENORE HANAUER FOUNDATION - NON-INVESTMENT RELATED - 1418 PALM AVE SW/SEATTLE WA 98116 - CHARITABLE DONATIONS - SECRETARY - 2007 - LESS THAN 1 HR/MO - NONE DURING TRADING - RECORD MEETING MINUTES IN RELATION TO DONATIONS MADE TO VARIOUS CHARITIES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kristi Ann Mandt's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Experience

Current

November 22, 2005 - Present

LAKESIDE ADVISORS INC

Office #1: 1115 East Denny Way, Seattle, WA 98122-2427

RIA

CRD#: 104540

Seattle, WA

Past

May 29, 2012 - November 3, 2020

KMS FINANCIAL SERVICES, INC.

RIA

CRD#: 3866

SEATTLE, WA

Past

February 1, 2005 - November 3, 2020

KMS FINANCIAL SERVICES, INC.

CRD#: 3866

SEATTLE, WA

Past

December 19, 1994 - February 2, 2005

ROUND HILL SECURITIES, INC.

CRD#: 35223

ALAMO, CA

Past

November 19, 1993 - January 4, 1995

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

September 4, 1990 - November 16, 1993

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

May 14, 1990 - September 4, 1990

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

CRD#: 76

Past

March 1, 1983 - November 28, 1989

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LAKESIDE ADVISORS INC

CRD#: 104540 / SEC#: 801-21230

RIA

Registered Investment Advisory firm - (5/10/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Washington
(11/22/2005)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/25/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/12/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 15

Date: 6/7/1984

Foreign Currency Options Examination

General Industry/Product Exam

Series 7

Date: 2/19/1983

General Securities Representative Examination

Current Firm

LAKESIDE ADVISORS INC

CRD#: 104540 / SEC#: 801-21230

RIA

Registered Investment Advisory firm - (5/10/1984 Approved)

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Contact information

Main Address

1115 East Denny Way, Seattle, WA 98122-2427

Mailing Address

Phone number

(206) 285-1730

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ANNUAL ADV PART 2 AMENDMENT (4/17/2025)

Regulatory assets under management

Total Number of Accounts	536
AUM (Assets Under Management)	$ 385,273,146

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Kristi A. Mandt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kristi Ann Mandt's CRS (Customer Relationship Summary).

Certified licenses

Experience

KMS FINANCIAL SERVICES, INC.

KMS FINANCIAL SERVICES, INC.

ROUND HILL SECURITIES, INC.

CITIGROUP GLOBAL MARKETS INC.

WELLS FARGO CLEARING SERVICES, LLC

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

LAKESIDE ADVISORS INC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/25/1992

Series 63

Date: 4/12/1983

SIE

Date: 10/1/2018

Series 15

Date: 6/7/1984

Series 7

Date: 2/19/1983

Current Firm

LAKESIDE ADVISORS INC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LAKESIDE ADVISORS INC

TRUST BUT VERIFY

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