Thomas D. Kristensen
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Thomas Duane Kristensen, who also goes by Thomas D Kristensen, Tom Kristensen, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1983. Thomas had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 2 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 14, 2012 - December 31, 2018
HUB INVESTMENT ADVISORS, INC
July 25, 2002 - October 2, 2012
M HOLDINGS SECURITIES, INC.
February 13, 2002 - December 31, 2018
M HOLDINGS SECURITIES, INC.
November 14, 1996 - February 20, 2002
SII INVESTMENTS, INC.
December 11, 1992 - November 13, 1996
PRINCIPAL SECURITIES, INC.
April 1, 1987 - November 6, 1992
F & G SECURITIES, INC.
February 14, 1986 - November 17, 1992
AETNA LIFE INSURANCE AND ANNUITY COMPANY
April 8, 1983 - February 19, 1986
HORACE MANN INVESTORS, INC.
Primary Firm SEC Registration
HUB INVESTMENT ADVISORS, INC
CRD#: 164600 / SEC#: 801-76898
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 2
Date: 4/18/1973
Non-Member General Securities ExaminationCurrent Firm
HUB INVESTMENT ADVISORS, INC
CRD#: 164600 / SEC#: 801-76898
Contact information
SEC notice filing (10 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 529 |
| AUM (Assets Under Management) | $ 2,073,694,709 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
