Kenneth Lee Christie
Professional Summary
Kenneth Lee Christie, who also goes by Ken L Christie, is a registered financial advisor currently at SPECTRUM WEALTH ADVISORY GROUP, LLC located in Granite Bay, California and LPL FINANCIAL LLC located in Granite Bay, California. Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Kenneth has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Ken L Christie
Similar Advisors
RBC CAPITAL MARKETS, LLC
LEGACY FINANCIAL ADVISORS
CASCARA FINANCIAL PLANNING LLC
THORNTON FINANCIAL PLANNING FIRM LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
RBC CAPITAL MARKETS, LLC
LEGACY FINANCIAL ADVISORS
CASCARA FINANCIAL PLANNING LLC
THORNTON FINANCIAL PLANNING FIRM LLC
Contact Information
Direct
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
Similar Advisors
RBC CAPITAL MARKETS, LLC
LEGACY FINANCIAL ADVISORS
CASCARA FINANCIAL PLANNING LLC
THORNTON FINANCIAL PLANNING FIRM LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
RBC CAPITAL MARKETS, LLC
LEGACY FINANCIAL ADVISORS
CASCARA FINANCIAL PLANNING LLC
THORNTON FINANCIAL PLANNING FIRM LLC
Years of Experience
34 years in the financial services industry
Current & Past Employments
Similar Advisors
RBC CAPITAL MARKETS, LLC
LEGACY FINANCIAL ADVISORS
CASCARA FINANCIAL PLANNING LLC
THORNTON FINANCIAL PLANNING FIRM LLC
Current Firm
SPECTRUM WEALTH ADVISORS | SPECTRUM WEALTH ADVISORY GROUP, LLC
Contact Information
Main Address
5925 Granite Lake Drive Suite 130, Granite Bay, CA 95746Phone Number
(916) 772-5970# of Employees
5SEC notice filing (9 States and Territories)
Registered to provide investment advisory services in 9 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
1,520AUM (Assets Under Management)
$445,367,405Similar Advisors
RBC CAPITAL MARKETS, LLC
LEGACY FINANCIAL ADVISORS
CASCARA FINANCIAL PLANNING LLC
THORNTON FINANCIAL PLANNING FIRM LLC
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.
Similar Advisors
RBC CAPITAL MARKETS, LLC
LEGACY FINANCIAL ADVISORS
CASCARA FINANCIAL PLANNING LLC
THORNTON FINANCIAL PLANNING FIRM LLC
Primary Firm SEC Registration
SPECTRUM WEALTH ADVISORS | SPECTRUM WEALTH ADVISORY GROUP, LLC
State Registrations and Notice Filings
(1/22/2018)
(8/17/2006)
(9/21/2018)
(6/14/2017)
(3/9/2012)
(11/20/2025)
(8/30/2011)
(8/17/2006)
(6/27/2024)
(8/17/2006)
(10/2/2023)
(5/11/2023)
(1/12/2018)
(9/21/2018)
(7/23/2024)
(8/17/2006)
(9/21/2018)
(8/20/2021)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed May 1992About the Series 6 examSRO Registrations
Similar Advisors
RBC CAPITAL MARKETS, LLC
LEGACY FINANCIAL ADVISORS
CASCARA FINANCIAL PLANNING LLC
THORNTON FINANCIAL PLANNING FIRM LLC
CRS (Client Relationship Summary) - RIA
Click below to view Kenneth Lee Christie's CRS (Customer Relationship Summary).
Similar Advisors
RBC CAPITAL MARKETS, LLC
LEGACY FINANCIAL ADVISORS
CASCARA FINANCIAL PLANNING LLC
THORNTON FINANCIAL PLANNING FIRM LLC
