KC
Kenneth L. Christie
SPECTRUM WEALTH ADVISORY GROUP
Granite Bay, CA 95746
CRD#: 2218257
KC
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 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ken L Christie
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. 04/03/2008 - NON-VARIABLE INSURANCE DBA / KEN CHRISTIE FINANCIAL SERVICES, INC. / 20% OF TIME SPENT. 2. 07/30/2008 - OTHER-BUSINESS ENTITY FOR ACCOUNTING PURPOSES / KEN CHRISTIE FINANCIAL SERVICES, INC. 3. 08/07/2014 - NON-VARIABLE INSURANCE - TIME SPENT 3 HOURS PER MONTH - GRANITE BAY,CA. 4. 1/10/2019 - Spectrum Wealth Advisory Group, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 12/20/2018 - 170 Hours Per Month/24 Hours During Securities Trading - I provide investment advisory services through Spectrum Wealth Advisory Group, LLC, an independent investment advisor firm. I started this business activity in 12/2018. I expect to spend approximately 170 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 5. 9/23/2020 - Spectrum Wealth Advisory Group, LLC - DBA: (Hybrid) Spectrum Wealth Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Started 01/28/2019 - 160 Hours Per Month During Securities Trading. 6. 08/27/2021 - KCGC Group, LLC - Investment Related - 5925 Granite Lake Drive, Granite Bay, CA 95746 - Real Estate Rental - Start Date: 08/01/2021 - 3 Hours Per Month/0 Hours During Securities Trading - Formed LLC to own office building. 7. 10/26/2022 - No Business Name - Investment Related - Roseville, CA 95661 - Real Estate Rental - Start Date: 11/01/2022 - 1 Hour Per Month/0 Hours During Securities Trading - Residential Rental. 8. 2/21/2023 - No Business Name - Investment Related - Napa, CA 94559 - Real Estate Rental - Start Date - 05/01/2022 - 0 Hours Per Month/0 Hours During Securities Trading 9. 04/14/2023 - Rutherford Capital, Inc - Not Investment Related - At Reported Business Location(s) - For-Profit Board Member - Board Member - Start Date 11/04/2022 - 1 Hours Per Month/ 1 hours During Securities Trading
CRS (Client Relationship Summary) - RIA
Click below to view Kenneth Lee Christie'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®
NoneExperience
Current
September 21, 2018 - Present
SPECTRUM WEALTH ADVISORY GROUP, LLC
Office #1: 5925 Granite Lake Drive Suite 130, Granite Bay, CA 95746RIA
CRD#: 298632
Granite Bay, CA
Current
August 17, 2006 - Present
LPL FINANCIAL LLC
Office #1: 5925 Granite Lake Dr, Ste 130, Granite Bay, CA 95746RIA
BD
CRD#: 6413
Granite Bay, CA
Past
April 20, 2016 - January 2, 2019
THE WEALTH CONSULTING GROUP
RIA
CRD#: 173194
GRANITE BAY, CA
Past
August 17, 2006 - March 14, 2019
LPL FINANCIAL LLC
RIA
CRD#: 6413
GRANITE BAY, CA
Past
May 26, 1992 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
May 26, 1992 - August 23, 2006
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
ROSEVILLE, 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".
SW
SPECTRUM WEALTH ADVISORY GROUP, LLC
SPECTRUM WEALTH ADVISORS | SPECTRUM WEALTH ADVISORY GROUP, LLC
CRD#: 298632 / SEC#: 801-114024
RIA
Registered Investment Advisory firm - (9/21/2018 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
Arizona(1/22/2018)
RR
California(8/17/2006)
IAR
California(9/21/2018)
RR
Colorado(3/26/2025)
RR
District of Columbia(4/28/2021)
RR
Florida(6/14/2017)
RR
Georgia(4/20/2010)
RR
Idaho(3/9/2012)
RR
Illinois(9/13/2006)
RR
Kansas(11/2/2022)
RR
Montana(10/4/2011)
RR
Nevada(8/30/2011)
RR
New York(8/17/2006)
RR
North Carolina(6/27/2024)
RR
Oklahoma(10/26/2015)
RR
Oregon(8/17/2006)
RR
Pennsylvania(10/2/2023)
RR
Tennessee(5/11/2023)
RR
Texas(1/12/2018)
IAR
Texas(9/21/2018)
RR
Utah(7/23/2024)
RR
Washington(8/17/2006)
IAR
Washington(9/21/2018)
RR
Wyoming(8/20/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SW
SPECTRUM WEALTH ADVISORY GROUP, LLC
SPECTRUM WEALTH ADVISORS | SPECTRUM WEALTH ADVISORY GROUP, LLC
CRD#: 298632 / SEC#: 801-114024
RIA
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Contact information
Main Address
5925 Granite Lake Drive Suite 130, Granite Bay, CA 95746
Mailing Address
Phone number
(916) 772-5970
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 604 |
| AUM (Assets Under Management) | $ 370,021,321 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
SPECTRUM WEALTH ADVISORY GROUP, LLC
CRD#: 298632Granite Bay, CA 95746TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
