Kris C. Hilsberg
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.
Kris C Hilsberg, CFP®, who also goes by Kris Calvin Hilsberg, was a registered financial professional .
Kris is a previously registered financial professional and started their career in finance in 1988. Kris had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 26 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2008
Experience
September 28, 2021 - November 25, 2025
LPL FINANCIAL LLC
September 28, 2021 - November 25, 2025
LPL FINANCIAL LLC
January 18, 2018 - September 8, 2021
CITIGROUP GLOBAL MARKETS INC.
January 18, 2018 - September 8, 2021
CITIGROUP GLOBAL MARKETS INC.
September 11, 2014 - April 11, 2016
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
September 11, 2014 - April 11, 2016
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
January 30, 2013 - August 28, 2014
CITIGROUP GLOBAL MARKETS INC.
January 30, 2013 - August 28, 2014
CITIGROUP GLOBAL MARKETS INC.
September 9, 2011 - May 4, 2012
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 3, 2010 - August 3, 2011
USAA FINANCIAL PLANNING SERVICES
June 3, 2010 - August 3, 2011
USAA FINANCIAL ADVISORS, INC.
October 9, 2009 - May 12, 2010
EDWARD JONES
October 9, 2009 - May 12, 2010
EDWARD JONES
May 29, 2007 - November 2, 2009
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - November 2, 2009
CITIGROUP GLOBAL MARKETS INC.
March 29, 2004 - May 29, 2007
CITICORP INVESTMENT SERVICES
December 11, 2003 - May 29, 2007
CITICORP INVESTMENT SERVICES
May 21, 2001 - December 12, 2003
BANC ONE SECURITIES CORPORATION
July 6, 1998 - December 14, 2000
NEW ENGLAND SECURITIES
December 20, 1988 - March 26, 1998
METLIFE INVESTORS DISTRIBUTION COMPANY
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 214 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
