Kristen M. Powell
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.
Kristen Moffat Powell, who also goes by Kristen Patricia Moffat, Kristin Patricia Moffat, Kristin Moffatt, was a registered financial professional .
Kristen is a previously registered financial professional and started their career in finance in 1993. Kristen had worked at 6 firms and has passed the Series 63, Series 3, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 5, 2016 - January 23, 2018
POLARIS WEALTH ADVISORY GROUP
November 13, 2003 - October 31, 2016
POLARIS EQUITY MANAGEMENT, INC.
July 14, 2000 - October 19, 2004
ROUND HILL SECURITIES, INC.
March 11, 1998 - August 21, 1998
LPL FINANCIAL LLC
June 7, 1995 - April 11, 1996
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
February 12, 1993 - May 19, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
POLARIS WEALTH ADVISORY GROUP
CRD#: 158718 / SEC#: 801-72654
Contact information
Regulatory assets under management
| Total Number of Accounts | 4,317 |
| AUM (Assets Under Management) | $ 1,508,968,850 |
Red Flags
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