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KM

Kirstin S. Mobyed

CLEAR HARBOR ASSET MANAGEMENT
Stamford, CT 06901
Some features on this profile are disabled
CRD#: 2316966
KM

Professional summary

Kirstin Sterling Mobyed, who also goes by Kirstin Sterling Werner, is a registered financial advisor currently at CLEAR HARBOR ASSET MANAGEMENT, LLC located in Stamford, Connecticut.

Kirstin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Kirstin has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Kirstin Sterling Werner

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) - RIA

Click below to view Kirstin Sterling Mobyed's CRS (Customer Relationship Summary).
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®
None

Experience

Current

July 14, 2020 - Present

CLEAR HARBOR ASSET MANAGEMENT, LLC

Office #1: 263 Tresser Blvd. Suite 1502, Stamford, CT 06901
RIA
CRD#: 152242
Stamford, CT
Past

June 1, 2009 - July 2, 2019

MORGAN STANLEY

RIA
CRD#: 149777
NEW YORK, NY
Past

June 1, 2009 - July 2, 2019

MORGAN STANLEY

BD
CRD#: 149777
NEW YORK, NY
Past

April 1, 2008 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
NEW YORK, NY
Past

April 1, 2008 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

November 26, 2007 - April 9, 2008

FRANKLIN TEMPLETON PRIVATE PORTFOLIO GROUP, LLC

RIA
CRD#: 142219
NEW YORK, NY
Past

September 6, 2007 - November 14, 2007

CLEARBRIDGE INVESTMENTS, LLC

RIA
CRD#: 137028
NEW YORK, NY
Past

December 1, 2005 - April 9, 2008

FRANKLIN DISTRIBUTORS, LLC

BD
CRD#: 109064
STAMFORD, CT
Past

May 10, 2001 - December 1, 2005

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

July 31, 1993 - June 30, 1999

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

April 20, 1993 - July 31, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
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".
CH
CLEAR HARBOR ASSET MANAGEMENT, LLC
CLEAR HARBOR ASSET MANAGEMENT, LLC | FALCON CAPITAL MANAGEMENT, INC. | DAUNTLESS MANAGEMENT LLC

CRD#: 152242 / SEC#: 801-70821

RIA
Registered Investment Advisory firm - (11/20/2009 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.

Highlighted states indicate IAR registrations

IAR
Connecticut
(7/14/2020)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/5/2007
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/15/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/19/1993
General Securities Representative Examination

Current Firm

CH
CLEAR HARBOR ASSET MANAGEMENT, LLC
CLEAR HARBOR ASSET MANAGEMENT, LLC | FALCON CAPITAL MANAGEMENT, INC. | DAUNTLESS MANAGEMENT LLC

CRD#: 152242 / SEC#: 801-70821

RIA
Registered Investment Advisory firm - (11/20/2009 Approved)
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Contact information

Main Address
263 Tresser Blvd. Suite 1502, Stamford, CT 06901
Mailing Address
Phone number
(212) 867-7310
Established
Firm type
Fiscal year end
# of Employees
26

SEC notice filing (21 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

CLEAR HARBOR ASSET MANAGEMENT ADV PART 2A (3/27/2025)

Regulatory assets under management

Total Number of Accounts1,667
AUM (Assets Under Management)$ 1,742,800,000

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
12/18/2024
Cover Page
Report
01/23/2024
Cover Page
Report
01/06/2023
Cover Page
Report
04/28/2022
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.

Company Information

CLEAR HARBOR ASSET MANAGEMENT, LLC

CRD#: 152242Stamford, CT 06901

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