Wendell G. Kristofak
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.
Wendell George Kristofak JR, who also goes by Kris Kristofak, was a registered financial professional .
Wendell is a previously registered financial professional and started their career in finance in 1984. Wendell had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 11, 2002 - October 25, 2019
MISSIONSQUARE RETIREMENT
November 5, 1998 - October 3, 2019
MISSIONSQUARE INVESTMENT SERVICES
May 19, 1993 - February 2, 1994
ANDERSON & STRUDWICK, INCORPORATED
May 8, 1990 - June 10, 1993
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
August 11, 1988 - April 17, 1990
MARKETING ONE SECURITIES, INC.
March 10, 1988 - August 15, 1988
G. R. PHELPS & CO., INC.
July 21, 1987 - October 13, 1987
G. R. PHELPS & CO., INC.
September 6, 1985 - July 9, 1987
SCOTT & STRINGFELLOW, INC.
January 29, 1985 - September 16, 1985
FIRST UNION CAPITAL MARKETS CORP.
May 22, 1984 - January 25, 1985
BRANCH, CABELL & CO., INC.
Primary Firm SEC Registration
MISSIONSQUARE RETIREMENT
CRD#: 108783 / SEC#: 801-18273
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
Current Firm
MISSIONSQUARE RETIREMENT
CRD#: 108783 / SEC#: 801-18273
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 58,580 |
| AUM (Assets Under Management) | $ 5,959,398,729 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2025 | ||
| 01/27/2025 | ||
| 10/27/2023 | ||
| 01/27/2023 |
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.
