Krista A. Fitzpatrick

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CRD#: 1709969

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.

Krista Anne Fitzpatrick was a registered financial professional .

Krista is a previously registered financial professional and started their career in finance in 1993. Krista had worked at 7 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 55 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

MS FITZPATRICK IS PARTIAL OWNER OF SAYING-HELLO.COM, A COMPANY THAT PRODUCES NEWSLETTERS ON FAMILY LIFE, LOCATED AT 502 SOUTH FREMONT AVE, APT 1601, TAMPA, FL 33606. MS FITZPATRICK STARTED THIS ACTIVITY IN MARCH, 2019 AND SPENDS 12 HOURS PER MONTH ON THIS NON-INVESTMENT RELATED ACTIVITY. HER DUTIES INCLUDE CONDUCTING RESEARCH, SALES STRATEGY AND OPERATIONS. MS FITZPATRICK IS THE OWNER OF A LIFESTYLE COACHING BUSINESS THAT PROVIDES COACHING AND SELLS BODY LOTIONS AND SPRAYS. ANCIENT BALANCE AYURVEDA IS LOCATED AT 502 SOUTH FREMONT AVE, APT 1601, TAMPA, FL 33606. MS FITZPATRICK BEGAN THIS NON-INVESTMENT RELATED ACTIVITY IN APRIL 2019 WHERE SHE SPENDS 12 HOURS PER MONTH AS A CONSULTANT, TEACHER AND CRAFTER.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

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

None

Experience

Past

April 28, 2021 - August 8, 2025

FISHER INVESTMENTS

RIA

CRD#: 107342

TAMPA, FL

Past

October 13, 2017 - April 16, 2021

NORTHERN LIGHTS DISTRIBUTORS, LLC

CRD#: 126159

ELKHORN, NE

Past

October 2, 2017 - April 19, 2021

SWAN GLOBAL INVESTMENTS, LLC

RIA

CRD#: 114669

TAMPA, FL

Past

November 12, 2015 - October 4, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

LAKELAND, FL

Past

August 12, 2015 - October 4, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

LAKELAND, FL

Past

January 18, 2007 - February 4, 2008

KENDRICK PIERCE & CO

CRD#: 40301

TAMPA, FL

Past

February 24, 2000 - April 4, 2006

HEFLIN & CO., L.L.C.

CRD#: 41170

ST. PETERSBURG, FL

Past

October 8, 1993 - February 8, 2000

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

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".

FISHER INVESTMENTS

FISHER ASSET MANAGEMENT, LLC | FISHER INVESTMENTS,INC. | FISHER INVESTMENTS

CRD#: 107342 / SEC#: 801-29362

RIA

Registered Investment Advisory firm - (3/26/1987 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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 66

Date: 11/5/2015

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/10/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/17/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/12/2015

General Securities Representative Examination

General Industry/Product Exam

Series 55

Date: 10/30/2000

Limited Representative-Equity Trader Exam

Current Firm

FISHER INVESTMENTS

FISHER ASSET MANAGEMENT, LLC | FISHER INVESTMENTS,INC. | FISHER INVESTMENTS

CRD#: 107342 / SEC#: 801-29362

RIA

Registered Investment Advisory firm - (3/26/1987 Approved)

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Contact information

Main Address

6500 International Pkwy Ste 2050, Plano, TX 75093-8222

Mailing Address

Phone number

(800) 851-8845

Established

Firm type

Fiscal year end

# of Employees

4,065

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PRIVATE CLIENT (9/10/2025)

CANADA PRIVATE CLIENT (2/5/2025)

UNITED KINGDOM PRIVATE CLIENT (2/5/2025)

INSTITUTIONAL (2/5/2025)

Regulatory assets under management

Total Number of Accounts	360,116
AUM (Assets Under Management)	$ 298,729,428,900

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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Firm Stability Insights

Krista A. Fitzpatrick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NORTHERN LIGHTS DISTRIBUTORS, LLC

SWAN GLOBAL INVESTMENTS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

KENDRICK PIERCE & CO

HEFLIN & CO., L.L.C.

RAYMOND JAMES & ASSOCIATES, INC.

Primary Firm SEC Registration

FISHER INVESTMENTS

State Registrations and Notice Filings

Exams

Series 66

Date: 11/5/2015

Series 63

Date: 4/10/1995

Series 7TO

Date: 3/17/2024

SIE

Date: 10/1/2018

Series 7

Date: 8/12/2015

Series 55

Date: 10/30/2000

Current Firm

FISHER INVESTMENTS

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FISHER INVESTMENTS

TRUST BUT VERIFY

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