Kris Schlichting

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CRD#: 2162366

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 Schlichting, who also goes by Kris S Arnzen, Kristin Arnzen Schlichting, Kris A Steiner, was a registered financial professional .

Kris is a previously registered financial professional and started their career in finance in 1991. Kris had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kris S Arnzen | Kristin Arnzen Schlichting | Kris A Steiner

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.

The advisor shows no other business activity.

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

July 21, 2014 - February 1, 2021

STEVENS FOSTER FINANCIAL ADVISORS

RIA

CRD#: 115752

BLOOMINGTON, MN

Past

November 14, 2013 - July 8, 2014

LPL FINANCIAL LLC

RIA

CRD#: 6413

BLOOMINGTON, MN

Past

January 30, 2007 - July 8, 2014

LPL FINANCIAL LLC

CRD#: 6413

BLOOMINGTON, MN

Past

October 21, 2003 - November 13, 2006

AMERICAN GENERAL SECURITIES INCORPORATED

CRD#: 13626

FOREST LAKE, MN

Past

November 24, 2001 - August 21, 2003

VESTAX SECURITIES CORPORATION

RIA

CRD#: 10332

CINCINNATI, OH

Past

July 7, 1997 - September 11, 2003

RESONATE ADVISORS, INC.

RIA

CRD#: 120941

CINCINNATI, OH

Past

January 17, 1996 - August 21, 2003

VESTAX SECURITIES CORPORATION

CRD#: 10332

HUDSON, OH

Past

August 28, 1991 - January 8, 1996

LUTHERAN BROTHERHOOD SECURITIES CORP.

CRD#: 4205

MINNEAPOLIS, MN

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".

STEVENS FOSTER FINANCIAL ADVISORS

STEVENS FOSTER FINANCIAL ADVISORS | STEVENS, FOSTER FINANCIAL SERVICES, INC.

CRD#: 115752 / SEC#: 801-80128

RIA

Registered Investment Advisory firm - (8/7/2014 Approved)

Arizona

Registered Investment Advisory firm - (12/31/2005 Terminated)

California

Registered Investment Advisory firm - (9/12/2014 Terminated)

Florida

Registered Investment Advisory firm - (8/13/2014 Terminated)

Illinois

Registered Investment Advisory firm - (12/31/2001 Terminated)

Minnesota

Registered Investment Advisory firm - (9/17/2014 Terminated)

Texas

Registered Investment Advisory firm - (8/13/2014 Terminated)

Wisconsin

Registered Investment Advisory firm - (8/13/2014 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.

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 65

Date: 9/18/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/14/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/2/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/27/1991

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/1/2000

General Securities Principal Examination

Current Firm

STEVENS FOSTER FINANCIAL ADVISORS

STEVENS FOSTER FINANCIAL ADVISORS | STEVENS, FOSTER FINANCIAL SERVICES, INC.

CRD#: 115752 / SEC#: 801-80128

RIA

Registered Investment Advisory firm - (8/7/2014 Approved)

Arizona

Registered Investment Advisory firm - (12/31/2005 Terminated)

California

Registered Investment Advisory firm - (9/12/2014 Terminated)

Florida

Registered Investment Advisory firm - (8/13/2014 Terminated)

Illinois

Registered Investment Advisory firm - (12/31/2001 Terminated)

Minnesota

Registered Investment Advisory firm - (9/17/2014 Terminated)

Texas

Registered Investment Advisory firm - (8/13/2014 Terminated)

Wisconsin

Registered Investment Advisory firm - (8/13/2014 Terminated)

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Contact information

Main Address

7900 Xerxes Avenue South Suite 1800, Bloomington, MN 55431

Mailing Address

Phone number

(952) 843-4200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MARCH 2025 ADV PART 2A (3/27/2025)

Regulatory assets under management

Total Number of Accounts	1,019
AUM (Assets Under Management)	$ 660,761,100

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/18/2024	Cover Page	Report
10/27/2023	Cover Page	Report
01/23/2023	Cover Page	Report

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

Kris Schlichting

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

AMERICAN GENERAL SECURITIES INCORPORATED

VESTAX SECURITIES CORPORATION

RESONATE ADVISORS, INC.

VESTAX SECURITIES CORPORATION

LUTHERAN BROTHERHOOD SECURITIES CORP.

Primary Firm SEC Registration

STEVENS FOSTER FINANCIAL ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 9/18/2014

Series 63

Date: 10/14/1991

Series 7

Date: 10/2/2000

Series 6

Date: 8/27/1991

Series 24

Date: 11/1/2000

Current Firm

STEVENS FOSTER FINANCIAL ADVISORS

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

STEVENS FOSTER FINANCIAL ADVISORS

TRUST BUT VERIFY

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