Kristin Hetzer

ROYAL PALMS CAPITAL

ROLLING HILLS EST., CA 90274

Some features on this profile are disabled

CRD#: 1098705

Professional summary

Kristin Hetzer, CFP®, CIMA®, who also goes by Kristin S Hetzer, Kristin Vanderploeg Stockmar, is a registered financial advisor currently at ROYAL PALMS CAPITAL, LLC located in Rolling Hills Est., California.

Kristin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Kristin has worked at 5 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kristin S Hetzer | Kristin Vanderploeg Stockmar

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.

Insurance agent

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kristin Hetzer'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®

CFP^®

Certified Financial Planner

Start date: 1989

CIMA^®

Certified Investment Management Analyst

Experience

Current

July 13, 2006 - Present

ROYAL PALMS CAPITAL, LLC

Office #1: 655 Deep Valley Drive Suite 260, Rolling Hills Est., CA 90274

RIA

CRD#: 135304

ROLLING HILLS EST., CA

Past

May 17, 2005 - May 20, 2005

ROYAL PALMS CAPITAL, LLC

RIA

CRD#: 135304

SAN PEDRO, CA

Past

March 14, 2001 - April 19, 2005

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

LONG BEACH, CA

Past

March 2, 2001 - April 19, 2005

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

March 31, 1988 - March 7, 2001

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

October 29, 1986 - March 29, 1988

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

Past

March 2, 1983 - October 14, 1986

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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".

ROYAL PALMS CAPITAL, LLC

CRD#: 135304 / SEC#: 801-132117

RIA

Registered Investment Advisory firm - (3/7/2025 Approved)

California

Registered Investment Advisory firm - (4/19/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

California
(7/13/2006)

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: 9/30/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/15/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 4/24/1987

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 2/19/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 10/19/1994

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

ROYAL PALMS CAPITAL, LLC

CRD#: 135304 / SEC#: 801-132117

RIA

Registered Investment Advisory firm - (3/7/2025 Approved)

California

Registered Investment Advisory firm - (4/19/2025 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

655 Deep Valley Drive Suite 260, Rolling Hills Est., CA 90274

Mailing Address

655 Deep Valley Drive Suite 260, Rolling Hills Estates, CA 90274

Phone number

(310) 265-5939

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

ROYAL PALMS CAPITAL LLC BROCHURE 2 A (5/13/2025)

Regulatory assets under management

Total Number of Accounts	254
AUM (Assets Under Management)	$ 101,094,259

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.

Similar Advisors

Jon Neuhaus

MORGAN STANLEY

IAR

El Segundo, CA

Kenneth Hickman

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brea, CA

Danielle Barrios

MORGAN STANLEY

IAR

Beverly Hills, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kristin Hetzer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kristin Hetzer's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROYAL PALMS CAPITAL, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

PRUDENTIAL EQUITY GROUP, LLC

KIDDER, PEABODY & CO. INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

ROYAL PALMS CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/30/1993

Series 63

Date: 3/15/1983

Series 3

Date: 4/24/1987

Series 7

Date: 2/19/1983

Series 8

Date: 10/19/1994

Current Firm

ROYAL PALMS CAPITAL, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ROYAL PALMS CAPITAL, LLC

TRUST BUT VERIFY

Similar Advisors