Kristin W. Horton

HAVEN CAPITAL GROUP

Westlake Village, CA 91361-5751

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CRD#: 1987375

Professional summary

Kristin Wyman Horton is a registered financial advisor currently at HAVEN CAPITAL GROUP located in Westlake Village, California.

Kristin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Kristin has worked at 8 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Haven Capital Group also offers real estate services through its President, Kristin W. Horton, who is a licensed by the State of California Bureau of Real Estate as a real estate salesperson. Ms. Horton spends less than ten hours per year on average on these activities. Haven Capital Group's President, Kristin W. Horton, is an owner and officer of creative services firm Caroline Rea Horton, Inc. Ms. Horton spends less than ten hours per year on average on these activities.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kristin Wyman Horton'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®

None

Experience

Current

June 23, 2009 - Present

HAVEN CAPITAL GROUP

Office #1: 2625 Townsgate Rd Ste 330, Westlake Village, CA 91361-5751

RIA

CRD#: 149641

Westlake Village, CA

Past

June 23, 2009 - December 31, 2017

HAVEN CAPITAL GROUP

RIA

CRD#: 149641

SANTA BARBARA, CA

Past

June 6, 2007 - November 16, 2009

J.P. MORGAN PRIVATE WEALTH ADVISORS LLC

RIA

CRD#: 108559

SANTA BARBARA, CA

Past

February 25, 2003 - June 6, 2007

STARBUCK TISDALE & ASSOCIATES

RIA

CRD#: 104836

SANTA BARBARA, CA

Past

July 26, 1999 - May 10, 2001

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

May 7, 1999 - May 21, 1999

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

August 18, 1995 - September 24, 1998

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

BOSTON, MA

Past

November 25, 1992 - August 10, 1993

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

September 19, 1989 - October 27, 1992

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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".

HAVEN CAPITAL GROUP

HAVEN CAPITAL GROUP | HAVEN CAPITAL GROUP, INC.

CRD#: 149641 / SEC#: 801-130171

RIA

Registered Investment Advisory firm - (5/10/2024 Approved)

California

Registered Investment Advisory firm - (6/20/2024 Terminated)

New York

Registered Investment Advisory firm - (5/21/2024 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
(6/23/2009)

IAR

New York
(5/21/2024)

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

Series 63

Date: 9/26/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/16/1989

General Securities Representative Examination

Current Firm

HAVEN CAPITAL GROUP

HAVEN CAPITAL GROUP | HAVEN CAPITAL GROUP, INC.

CRD#: 149641 / SEC#: 801-130171

RIA

Registered Investment Advisory firm - (5/10/2024 Approved)

California

Registered Investment Advisory firm - (6/20/2024 Terminated)

New York

Registered Investment Advisory firm - (5/21/2024 Terminated)

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Contact information

Main Address

2625 Townsgate Rd Ste 330, Westlake Village, CA 91361-5751

Mailing Address

P.o. Box 3610, Camarillo, CA 93011-3610

Phone number

(805) 963-9050

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MARCH 24, 2025 HAVEN CAPITAL GROUP INC BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	137
AUM (Assets Under Management)	$ 142,402,490

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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Advisor Monitoring

Firm Stability Insights

Kristin W. Horton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

HAVEN CAPITAL GROUP

J.P. MORGAN PRIVATE WEALTH ADVISORS LLC

STARBUCK TISDALE & ASSOCIATES

MORGAN STANLEY & CO. LLC

CREDIT SUISSE SECURITIES (USA) LLC

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CIBC WORLD MARKETS CORP.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

HAVEN CAPITAL GROUP

State Registrations and Notice Filings

Exams

Series 63

Date: 9/26/1992

Series 7

Date: 9/16/1989

Current Firm

HAVEN CAPITAL GROUP

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HAVEN CAPITAL GROUP

TRUST BUT VERIFY

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