Kristina M. Zimmerman

LAZARI CAPITAL MANAGEMENT

Woodland Hills, CA 91303

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CRD#: 2060010

Professional summary

Kristina Marie Zimmerman, who also goes by Kristina Marie Goddard, Kristina Marie Miller, Kristina Marie Zimmerman, Kristina Zimmerman, is a registered financial advisor currently at LAZARI CAPITAL MANAGEMENT, INC. located in Woodland Hills, California and LYNDHURST SECURITIES INC. located in Woodland Hills, California.

Kristina is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Kristina has worked at 12 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kristina Marie Goddard | Kristina Marie Miller | Kristina Marie Zimmerman | Kristina Zimmerman

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.

1) Pompeii Holdings LLC; investment related; 300 Delaware Avenue, Suite 210-A, Wilmington, DE 19801; invests in small businesses that need capital injection; member; compensated by percentage of profits or interest; 0% spent during trading hours. 2) Tortuga Holding Company, LLC; non-investment related; 300 West Glenoaks Boulevard, Suite 202, Glendale, CA 91202; holding company for purpose of holding interest in small, non-investment related businesses; member; compensated by percentage of profits or interest; 0% spent during trading hours. 3) Glasswing Consulting, Inc.; non-investment related; 6928 Owensmouth Avenue, Suite 200, Woodland Hills, CA 91303; president of consulting company providing business, operational, and compliance support to broker/dealers, RIAs, and fund companies; compensated by contract; 40% spent during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kristina Marie Zimmerman'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

February 15, 2024 - Present

LAZARI CAPITAL MANAGEMENT, INC.

Office #1: 6928 Owensmouth Ave Suite 200, Woodland Hills, CA 91303

RIA

CRD#: 172932

Woodland Hills, CA

Current

July 28, 2022 - Present

LYNDHURST SECURITIES INC.

Office #1: 6928 Owensmouth Avenue Suite 200, Woodland Hills, CA 91303Office #2: 300 W Glenoaks Blvd Suite 202, Glendale, CA 91202Office #3: 6928 Owensmouth Ave Suite 200, Woodland Hills, CA 91303

CRD#: 315582

Woodland Hills, CA

Past

November 20, 2020 - December 1, 2021

KOVACK SECURITIES INC.

CRD#: 44848

Glendale, CA

Past

November 17, 2020 - December 1, 2021

KOVACK ADVISORS, INC.

RIA

CRD#: 140808

Glendale, CA

Past

January 8, 2018 - December 26, 2018

LPL FINANCIAL LLC

RIA

CRD#: 6413

SANTA CLARITA, CA

Past

November 29, 2017 - December 26, 2018

LPL FINANCIAL LLC

CRD#: 6413

SANTA CLARITA, CA

Past

January 10, 2017 - November 2, 2017

FINANCIAL SECURITY MANAGEMENT, INC

RIA

CRD#: 116570

Valencia, CA

Past

May 20, 2016 - November 29, 2017

NATIONAL PLANNING CORPORATION

CRD#: 29604

SANTA CLARITA, CA

Past

April 15, 2014 - September 30, 2015

CAPITAL RESEARCH BROKERAGE SERVICES, LLC

CRD#: 40823

PASADENA, CA

Past

March 12, 2014 - September 30, 2015

CAPITAL RESEARCH & CONSULTING LLC

RIA

CRD#: 109868

PASADENA, CA

Past

October 1, 1997 - June 25, 2012

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CRD#: 40178

FRANKLIN, TN

Past

August 13, 1992 - September 22, 1997

PASADENA FUND SERVICES, INC.

CRD#: 28494

Past

September 4, 1990 - December 13, 1995

ASCHER/DECISION SERVICES, INC.

CRD#: 10034

SAN MARINO, CA

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".

LAZARI CAPITAL MANAGEMENT, INC.

IRON HILL WEALTH MANAGEMENT | TOTAL RETIREMENT PLAN SERVICES, INC. | POLARIS CAPITAL ADVISORS, LLC | LAZARI CAPITAL MANAGEMENT, INC. | KARAPETIAN, MICHAEL L

CRD#: 172932 / SEC#: 801-112927

RIA

Registered Investment Advisory firm - (4/23/2018 Approved)

California

Registered Investment Advisory firm - (9/19/2018 Terminated)

Florida

Registered Investment Advisory firm - (8/20/2018 Terminated)

Nevada

Registered Investment Advisory firm - (9/21/2018 Terminated)

Texas

Registered Investment Advisory firm - (8/20/2018 Terminated)

Virginia

Registered Investment Advisory firm - (8/21/2018 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(8/2/2022)

IAR

California
(2/15/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/8/2016

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 9/29/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/8/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/14/1991

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/30/1990

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/27/1991

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

LAZARI CAPITAL MANAGEMENT, INC.

IRON HILL WEALTH MANAGEMENT | TOTAL RETIREMENT PLAN SERVICES, INC. | POLARIS CAPITAL ADVISORS, LLC | LAZARI CAPITAL MANAGEMENT, INC. | KARAPETIAN, MICHAEL L

CRD#: 172932 / SEC#: 801-112927

RIA

Registered Investment Advisory firm - (4/23/2018 Approved)

California

Registered Investment Advisory firm - (9/19/2018 Terminated)

Florida

Registered Investment Advisory firm - (8/20/2018 Terminated)

Nevada

Registered Investment Advisory firm - (9/21/2018 Terminated)

Texas

Registered Investment Advisory firm - (8/20/2018 Terminated)

Virginia

Registered Investment Advisory firm - (8/21/2018 Terminated)

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Contact information

Main Address

6928 Owensmouth Ave. #200, Woodland Hills, CA 91303

Mailing Address

Phone number

(818) 264-0610

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2B (10/1/2025)

ADV PART 2A - LCMI (10/1/2025)

Regulatory assets under management

Total Number of Accounts	1,068
AUM (Assets Under Management)	$ 614,623,292

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

Kristina M. Zimmerman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kristina Marie Zimmerman's CRS (Customer Relationship Summary).

Certified licenses

Experience

LYNDHURST SECURITIES INC.

KOVACK SECURITIES INC.

KOVACK ADVISORS, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

FINANCIAL SECURITY MANAGEMENT, INC

NATIONAL PLANNING CORPORATION

CAPITAL RESEARCH BROKERAGE SERVICES, LLC

CAPITAL RESEARCH & CONSULTING LLC

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

PASADENA FUND SERVICES, INC.

ASCHER/DECISION SERVICES, INC.

Primary Firm SEC Registration

LAZARI CAPITAL MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/8/2016

Series 65

Date: 9/29/1992

Series 63

Date: 11/8/1990

SIE

Date: 10/1/2018

Series 7

Date: 10/14/1991

Series 6

Date: 8/30/1990

Series 24

Date: 11/27/1991

FINRA

Current Firm

LAZARI CAPITAL MANAGEMENT, INC.

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LAZARI CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

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