KM
Kristin A. Moroz
STRATEGIC ADVISERS LLC
MORRISON, CO
Some features on this profile are disabled
CRD#: 2169389
KM
Professional summary
Kristin Ann Moroz, CFP®, who also goes by Kristin Ann Farrell, Kristin Farrell, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Morrison, Colorado and FIDELITY BROKERAGE SERVICES LLC located in Lakewood, Colorado.
Kristin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Kristin has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kristin Ann Farrell | Kristin Farrell
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.
OBA-15446|OrgNmn:2275 Storm Meadows LLC|Org Addr:Steamboat,Colorado,US|OBA Nature:Ski Mountain Rental Property|Invst Rel:Y|Title:Co-Owner|Duties:None. We have a management company handling our ski rentals for the condo.|StrtDt:06-25-20|TotHrs/mon:1|TrdHrs/mon:0|
CRS (Client Relationship Summary) - RIA
Click below to view Kristin Ann Moroz's 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®
Experience
Current
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
Office #2: 343 S Teller St, Lakewood, CO 80226RIA
CRD#: 104555
MORRISON, CO
Current
July 29, 2019 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 343 S Teller St, Lakewood, CO 80226BD
CRD#: 7784
Lakewood, CO
Past
September 11, 2019 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
GREENWOOD VILLAGE, CO
Past
January 20, 2017 - July 16, 2019
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
Lone Tree, CO
Past
January 20, 2017 - July 16, 2019
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Lone Tree, CO
Past
April 27, 2015 - January 22, 2016
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
CAMBRIDGE, MA
Past
April 13, 2015 - January 8, 2016
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
CAMBRIDGE, MA
Past
October 21, 2014 - March 25, 2015
MORGAN STANLEY
RIA
CRD#: 149777
BOSTON, MA
Past
October 8, 2014 - March 25, 2015
MORGAN STANLEY
BD
CRD#: 149777
BOSTON, MA
Past
April 19, 2005 - March 2, 2006
NF CLEARING, INC.
BD
CRD#: 14285
PHILADELPHIA, PA
Past
June 11, 2003 - July 21, 2014
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
BOSTON, MA
Past
September 25, 2001 - July 24, 2014
NATIONAL FINANCIAL SERVICES LLC
BD
CRD#: 13041
BOSTON, MA
Past
May 30, 2000 - August 21, 2001
VISIBLE MARKETS, INC.
BD
CRD#: 103842
BOSTON, MA
Past
September 8, 1997 - April 6, 2000
ABN AMRO INCORPORATED
BD
CRD#: 15776
STAMFORD, CT
Past
December 8, 1995 - August 11, 1997
W. P. STEWART & CO., INC.
BD
CRD#: 7190
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".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 Approved)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.RR
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
RR
Alabama(7/29/2019)
RR
Alaska(7/29/2019)
RR
Arizona(7/29/2019)
RR
Arkansas(7/29/2019)
RR
California(7/29/2019)
RR
Colorado(7/29/2019)
IAR
Colorado(3/31/2025)
RR
Connecticut(7/29/2019)
RR
Delaware(7/29/2019)
RR
District of Columbia(7/29/2019)
RR
Florida(7/29/2019)
RR
Georgia(7/29/2019)
RR
Hawaii(7/29/2019)
RR
Idaho(7/29/2019)
RR
Illinois(7/29/2019)
RR
Indiana(7/29/2019)
RR
Iowa(7/29/2019)
RR
Kansas(7/29/2019)
RR
Kentucky(7/29/2019)
RR
Louisiana(7/29/2019)
RR
Maine(7/29/2019)
RR
Maryland(7/29/2019)
RR
Massachusetts(7/29/2019)
RR
Michigan(7/29/2019)
RR
Minnesota(7/29/2019)
RR
Mississippi(7/29/2019)
RR
Missouri(7/29/2019)
RR
Montana(7/29/2019)
RR
Nebraska(7/29/2019)
RR
Nevada(7/29/2019)
RR
New Hampshire(7/29/2019)
RR
New Jersey(7/29/2019)
RR
New Mexico(7/29/2019)
RR
New York(7/29/2019)
RR
North Carolina(7/29/2019)
RR
North Dakota(7/29/2019)
RR
Ohio(7/29/2019)
RR
Oklahoma(7/29/2019)
RR
Oregon(7/29/2019)
RR
Pennsylvania(7/29/2019)
RR
Puerto Rico(7/29/2019)
RR
Rhode Island(7/29/2019)
RR
South Carolina(7/29/2019)
RR
South Dakota(7/29/2019)
RR
Tennessee(7/29/2019)
RR
Texas(7/29/2019)
IAR
Texas(3/31/2025)
RR
Utah(7/29/2019)
RR
Vermont(7/29/2019)
RR
Virgin Islands(7/29/2019)
RR
Virginia(7/29/2019)
RR
Washington(7/29/2019)
RR
West Virginia(7/29/2019)
RR
Wisconsin(7/29/2019)
RR
Wyoming(7/29/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
155 Seaport Blvd, Boston, MA 02210-2698
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
16,291
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
